Joseph A. Schlindwein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Andrew Schlindwein was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2013 - July 13, 2015
BURNHAM & DELLS ADVISORS
October 27, 2010 - November 28, 2012
CHESME CAPITAL MANAGEMENT
August 23, 1999 - October 17, 2007
CHARLES SCHWAB & CO., INC.
September 3, 1996 - July 13, 1999
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BURNHAM & DELLS ADVISORS
CRD#: 114866 / SEC#: 801-60510
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 365 |
| AUM (Assets Under Management) | $ 386,284,866 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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