Joshua Constantin
Professional summary
Joshua Constantin was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joshua is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Joshua had worked at 7 firms, which includes WINDHAM SECURITIES INC., J.P. TURNER & COMPANY L.L.C., GILFORD SECURITIES INCORPORATED, KIMBERLY SECURITIES INC., GURU INVESTMENT SERVICES LTD., GLENN MICHAEL FINANCIAL INC., W.A. CAPITAL MARKETS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2004 - April 9, 2009
WINDHAM SECURITIES, INC.
July 1, 2002 - October 29, 2003
J.P. TURNER & COMPANY, L.L.C.
December 21, 2001 - July 17, 2002
GILFORD SECURITIES INCORPORATED
July 30, 2001 - December 17, 2001
KIMBERLY SECURITIES, INC.
March 22, 2001 - July 10, 2001
GURU INVESTMENT SERVICES, LTD.
September 10, 1999 - April 20, 2001
GLENN MICHAEL FINANCIAL, INC.
August 14, 1999 - August 31, 1999
W.A. CAPITAL MARKETS
State Registrations and Notice Filings
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Exams
Current Firm
WINDHAM SECURITIES, INC.
CRD#: 20529 / SEC#: , 8-38311
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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