Joanne J. Park
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.
Joanne Jungmin Park was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 2000. Joanne had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 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
October 18, 2019 - November 21, 2019
SUTTER SECURITIES INCORPORATED
February 13, 2018 - March 31, 2021
SUTTER SECURITIES CLEARING, LLC
February 13, 2018 - March 31, 2021
BOUSTEAD SECURITIES, LLC
April 4, 2017 - February 5, 2018
SBC PARTNERS
January 30, 2015 - September 14, 2015
GRV SECURITIES LLC
June 2, 2005 - November 1, 2005
ACA SECURITIES, L.L.C.
August 13, 2004 - February 16, 2005
J.P. MORGAN SECURITIES LLC
August 13, 2003 - August 16, 2004
DEAM INVESTOR SERVICES, INC.
July 25, 2002 - August 7, 2003
NOMURA SECURITIES INTERNATIONAL, INC.
August 15, 2000 - March 13, 2002
FUNDS DISTRIBUTOR, LLC
April 24, 2000 - July 31, 2000
CHASE INVESTMENT SERVICES CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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