Joseph M. 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 Michael Flores was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 10 firms and has passed the Series 65, 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
July 6, 2017 - December 31, 2023
TORTOISEECOFIN SECURITIES, LLC
November 17, 2016 - December 13, 2023
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
June 18, 2012 - November 17, 2016
MONTAGE INVESTMENTS, LLC
June 2, 2011 - July 3, 2017
MSEC, LLC
November 29, 2010 - May 31, 2011
BURCH & COMPANY, INC
February 24, 2009 - December 2, 2010
NEXBANK SECURITIES INC
May 3, 2004 - November 4, 2008
GUGGENHEIM INVESTMENTS
May 3, 2004 - November 4, 2008
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 6, 2003 - May 11, 2004
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
May 28, 1999 - May 11, 2004
DWS DISTRIBUTORS, 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
TORTOISEECOFIN SECURITIES, LLC
CRD#: 285411 / SEC#: , 8-69849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORTOISEECOFIN BORROWER LLC (FORMERLY TORTOISE BORROWER LLC) | OWNER | |
| BEHRENS, BRENT WAYNE | CFO | |
| BIRZER, HAROLD KEVIN | DIRECTOR | 1410255 |
| BONO, DIANE MARIE | DIRECTOR | 5157289 |
| ELLIOTT, KATHERINE ANN | CHIEF COMPLIANCE OFFICER/PRESIDENT | 5385921 |
| HENSON, GARY PAUL | DIRECTOR | 2130871 |
| JOHNSTON, MICHELLE ROSS | DIRECTOR | 4131976 |
| MCKEIGUE, MICHAEL SULLIVAN | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2857839 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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