Joseph D. Wallwork
Professional summary
Joseph David Wallwork was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joseph had worked at 7 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES, J.J.B. HILLIARD W.L. LYONS LLC, MBSC LLC, DREYFUS INVESTMENT SERVICES COMPANY LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, NEW ENGLAND SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2004 - July 13, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2002 - November 1, 2004
EDWARD JONES
November 15, 2000 - April 29, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
October 15, 1999 - November 28, 2000
MBSC, LLC
September 24, 1999 - November 16, 2000
DREYFUS INVESTMENT SERVICES COMPANY, LLC
March 12, 1999 - October 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1997 - January 15, 1999
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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