Joseph W. Lester
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 William Lester JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1964. Joseph had worked at 6 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2010 - January 28, 2010
ST. GERMAIN SECURITIES, INC.
January 13, 2010 - December 31, 2013
ST. GERMAIN SECURITIES, INC.
September 28, 1984 - January 4, 2010
COBURN & MEREDITH, INC.
October 22, 1981 - September 28, 1984
BURGESS & LEITH INCORPORATED
July 2, 1974 - November 6, 1981
F. L. PUTNAM & COMPANY, INC.
September 27, 1972 - December 20, 1974
KENNEDY-PETERSON, INCORPORATED
November 4, 1964 - October 28, 1972
WHITE, WELD & CO. INCORPORATED
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
Series 1
Date: 11/2/1964
Registered Representative ExaminationSeries 40
Date: 11/23/1972
Registered Principal ExaminationCurrent Firm
ST. GERMAIN SECURITIES, INC.
CRD#: 3255 / SEC#: , 8-4575
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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