Joseph R. Pankowski
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 Richard Pankowski was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1974. Joseph had worked at 8 firms and has passed the Series 65, Series 6, 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
January 10, 2006 - December 3, 2008
FORTUNE FINANCIAL SERVICES, INC.
January 19, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
December 5, 2001 - December 31, 2005
INVESTORS CAPITAL CORP.
August 14, 1998 - November 27, 2001
PIN OAK PARTNERS, INC.
September 4, 1997 - November 16, 1998
COVATO/LIPSITZ, INC.
June 4, 1990 - April 15, 1997
COVATO/LIPSITZ, INC.
March 31, 1988 - May 11, 1990
TOWER SQUARE SECURITIES, INC.
November 15, 1984 - December 31, 1988
INVESTORS BROKERAGE SERVICES, INC.
November 15, 1984 - July 3, 1991
ILG SECURITIES CORPORATION
April 8, 1974 - December 31, 1987
MANAGED INVESTMENTS, 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: 4/1/1974
Registered Representative ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
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.
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