Josef A. Wallach
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.
Josef Abraham Wallach was a registered financial professional .
Josef is a previously registered financial professional and started their career in finance in 1998. Josef had worked at 7 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2012 - April 29, 2013
PRONET FINANCIAL PARTNERS LLC
March 4, 2008 - January 26, 2009
FIDUCIARY ADVISORS, LLC
May 9, 2005 - March 3, 2006
JOHN HANCOCK DISTRIBUTORS LLC
September 26, 2001 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
October 6, 1999 - May 16, 2001
CONSECO SECURITIES, INC.
June 10, 1998 - March 25, 1999
MORGAN STANLEY DW INC.
May 6, 1998 - May 8, 1998
LEGEND MERCHANT GROUP, 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
PRONET FINANCIAL PARTNERS LLC
CRD#: 154601 / SEC#: , 8-68653
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSSMAN, STEPHEN JEFFREY | MANAGER, CFO, CCO, EXECUTIVE REP | 2181860 |
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.
