Joseph C. Gantner
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 Christopher Gantner III, who also goes by Joe Gantner, Joseph Christopher III Gantner, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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
April 30, 2013 - October 22, 2014
FORESTERS EQUITY SERVICES, INC.
September 20, 2011 - April 19, 2013
FORESTERS EQUITY SERVICES, INC.
December 9, 2010 - January 5, 2016
FORESTERS EQUITY SERVICES, INC.
November 1, 2010 - November 30, 2010
PACIFIC WEST SECURITIES, INC.
December 8, 2005 - November 30, 2010
STONEFIELD INVESTMENT ADVISORY, INC.
November 2, 2005 - November 16, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 9, 2004 - November 7, 2005
WELLS FARGO INVESTMENTS, LLC
January 9, 2004 - November 7, 2005
WELLS FARGO INVESTMENTS, LLC
September 20, 1997 - January 8, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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