Joseph R. Monte Carlo
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 Raymond Monte Carlo, who also goes by Joe Montecarlo, Joseph Raymond Montecarlo, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2014 - November 5, 2014
QUESTAR ASSET MANAGEMENT, INC.
March 5, 2014 - December 31, 2018
QUESTAR CAPITAL CORPORATION
October 1, 2003 - December 4, 2013
COMMONWEALTH FINANCIAL NETWORK
September 19, 2003 - December 4, 2013
COMMONWEALTH FINANCIAL NETWORK
March 11, 2003 - September 19, 2003
THE ADVISORS GROUP, INC.
May 14, 1992 - September 19, 2003
THE ADVISORS GROUP, INC.
November 28, 1989 - May 14, 1992
CINCINNATI ANALYSTS, INC.
May 3, 1973 - November 16, 1989
LINCOLN FINANCIAL 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
Series 1
Date: 4/30/1973
Registered Representative ExaminationCurrent Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
