Joseph A. Wortmann
Professional summary
Joseph Alan Wortmann, who also goes by Na, Joe A Wortmann, is a registered financial professional currently at FIRST ASSET FINANCIAL INC. located in Salina, Kansas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Alan Wortmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2006 - Present
FIRST ASSET FINANCIAL INC.
Office #1: 110 E. Iron Ave., Salina, KS 67401July 1, 2003 - December 31, 2005
IRON STREET SECURITIES INC.
November 19, 2001 - June 3, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 2, 2001 - November 7, 2001
IRON STREET SECURITIES INC.
September 23, 1999 - October 20, 2000
CAPITAL BROKERAGE CORPORATION
June 8, 1998 - August 27, 1999
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/11/2006)
Exams
FINRA
Current Firm
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
FIRST ASSET FINANCIAL INC.
CRD#: 139107Salina, KS 67401TRUST BUT VERIFY
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