Joseph A. Lakofka
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 Alan Lakofka was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2012 - June 15, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
January 5, 2010 - February 14, 2012
STERNE, AGEE & LEACH, INC.
May 3, 2000 - January 14, 2010
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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