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JS

Joseph L. Schocken

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CRD#: 414624
JS

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 Louis Schocken, who also goes by Joseph L Schocken, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 10 firms and has passed the Series 63, SIE, Series 24 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph L Schocken

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

March 5, 2002 - March 27, 2020

TRANCEKA CAPITAL, LLC

BD
CRD#: 118028
SEATTLE, WA
Past

February 28, 1996 - April 9, 2002

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

October 4, 1995 - August 6, 1996

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 25, 1987 - March 30, 1995

BROADMARK CAPITAL CORPORATION

BD
CRD#: 18812
Past

December 28, 1984 - December 24, 1985

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
Past

January 26, 1982 - September 8, 1982

CRALIN SECURITIES COMPANY

BD
CRD#: 10208
Past

February 29, 1980 - October 29, 1984

CRALIN & CO., INC.

BD
CRD#: 7605
Past

February 6, 1979 - September 15, 1980

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
Past

June 21, 1976 - January 8, 1978

KLINEMAN ASSOCIATES, INC.

BD
CRD#: 6234
Past

February 20, 1973 - April 10, 1976

ENI CORPORATION

BD
CRD#: 5693

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: 1/26/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/1980
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 2/13/1973
General Securities Principal Examination

Current Firm

TC
TRANCEKA CAPITAL, LLC
BROADMARK CAPITAL, LLC | TRANCEKA CAPITAL, LLC | BROADMARK, LLC

CRD#: 118028 / SEC#: , 8-53627

BD
Terminated by SEC on 05/26/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 10/11/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRANCEKA HOLDINGS, LLCMEMBER
POSTREL, HELENE BERSONFINANCIAL PRINCIPAL, PFO, POO2240945
SCHOCKEN, JOSEPH LOUISPRESIDENT, CCO, AMLCO414624

Disclosures

Regulatory Event1

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

TRANCEKA CAPITAL, LLC

CRD#: 118028

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