Joseph R. Mcdonald
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 Roderick Mcdonald, who also goes by Rod Mcdonald, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 9 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1998 - June 16, 2009
PORTSMOUTH FINANCIAL SERVICES
July 13, 1989 - July 6, 1998
SECURITIES AMERICA, INC.
April 10, 1989 - July 17, 1989
CETERA WEALTH SERVICES, LLC
August 7, 1980 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
February 7, 1979 - March 8, 1984
PLANNED INVESTMENTS INC.
August 24, 1977 - March 10, 1979
DAVE FRIES AND ASSOCIATES
August 17, 1976 - October 22, 1977
WULFF, HANSEN & CO.
April 10, 1974 - October 11, 1976
DAVE FRIES AND ASSOCIATES
October 5, 1973 - May 18, 1974
ROBERTS, SCOTT & CO., INC.
January 29, 1968 - November 30, 1974
FIRST CALIFORNIA COMPANY, 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: 1/11/1968
Registered Representative ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
