Joseph D. Flores
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 D Flores was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2010. Joseph had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2012 - December 13, 2019
HAND SECURITIES, INC
September 15, 2010 - September 13, 2011
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HAND SECURITIES, INC
CRD#: 45198 / SEC#: , 8-51001
Contact information
FINRA licenses (38 States and Territories)
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.
