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JR

Josef Rotter

Some features on this profile are disabled
CRD#: 405823
JR

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.

Josef Rotter was a registered financial professional .

Josef is a previously registered financial professional and started their career in finance in 1973. Josef had worked at 9 firms and has passed the Series 63, Series 3, Series 6, Series 26, F04 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 7, 2002 - September 27, 2002

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

August 18, 1999 - August 7, 2001

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

December 13, 1996 - November 25, 1998

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

February 22, 1996 - November 18, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

July 14, 1992 - January 11, 1995

INVESTMENT TECHNOLOGY CORPORATION INTERNATIONAL

BD
CRD#: 13276
WOODLAND HILLS, CA
Past

April 19, 1991 - July 24, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882
Past

December 22, 1990 - February 22, 1991

KENNEDY, CABOT & CO.

BD
CRD#: 2417
BEVERLY HILLS, CA
Past

March 14, 1985 - July 9, 1990

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

April 24, 1978 - August 10, 1978

INVESTOGENIC SERVICES, INC.

BD
CRD#: 4076
Past

November 5, 1976 - August 18, 1977

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 5, 1973 - December 1, 1976

INVESTOGENIC SERVICES, INC.

BD
CRD#: 4076

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/27/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 1/18/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/5/1987
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 9/13/1973
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 4/2/1973
General Securities Principal Examination

Current Firm

SS
SCF SECURITIES, INC.
SCF SECURITIES, INC. | SECURITY CONSULTANTS FINANCIAL SECURITIES, INC.

CRD#: 47275 / SEC#: , 8-51760

BD
Terminated by SEC on 09/30/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 05/19/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SCF HOLDINGS, INC.SHAREHOLDER
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHACHIEF FINANCIAL OFFICER3197368

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.

Company Information

SCF SECURITIES, INC.

CRD#: 47275

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