Joseph M. Reese
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 Michael Reese, who also goes by Michael Joseph Reese, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - August 1, 2019
PENTEGRA DISTRIBUTORS INC.
February 4, 2009 - December 20, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 1, 2004 - January 24, 2007
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 18, 2003 - December 2, 2004
HORNOR, TOWNSEND & KENT, LLC
April 19, 2000 - July 11, 2003
JOHN HANCOCK DISTRIBUTORS LLC
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
Current Firm
PENTEGRA DISTRIBUTORS INC.
CRD#: 26249 / SEC#: , 8-42445
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
