Joseph J. Micek
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 Jon Micek, who also goes by Joseph J Micek, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 3 firms and has passed the Series 63, Series 3, Series 7, Series 11 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
November 15, 2001 - November 17, 2008
SUPERFUND ASSET MANAGEMENT INC.
May 30, 1997 - December 31, 2001
ROSENTHAL COLLINS SECURITIES, L.L.C
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 11
Date: 5/29/1997
Assistant Representative-Order Processing Qualification ExamCurrent Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
