Joseph Pickard
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 Pickard JR, who also goes by Joseph (nmn) Pickard Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 8 firms and has passed the Series 65, Series 63 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
August 21, 2006 - December 31, 2015
ORISTANO CAPITAL LLC
January 13, 2006 - August 24, 2006
OPPENHEIMER & CO. INC.
January 3, 2003 - August 24, 2006
OPPENHEIMER & CO. INC.
August 28, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 1, 2000 - August 23, 2001
J.P. MORGAN SECURITIES INC.
June 1, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
September 1, 1997 - June 9, 1999
DB ALEX. BROWN LLC
January 18, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
February 5, 1970 - February 10, 1988
E. F. HUTTON & COMPANY 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: 1/30/1970
Registered Representative ExaminationCurrent Firm
ORISTANO CAPITAL LLC
CRD#: 141162 / SEC#: 801-67054
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.
