Joshua D. Weiner
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.
Joshua David Weiner, who also goes by Josh Weiner, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2009 - December 18, 2013
OCTEG, LLC
May 31, 2005 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
August 2, 2004 - March 23, 2005
J.P. MORGAN SECURITIES INC.
November 10, 2003 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
October 12, 1999 - July 16, 2001
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
OCTEG, LLC
CRD#: 117429 / SEC#: , 8-53598
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
