Maier J. Tarlow
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.
Maier Joshua Tarlow was a registered financial professional .
Maier is a previously registered financial professional and started their career in finance in 2000. Maier had worked at 5 firms and has passed the SIE, Series 57, Series 7, Series 21, Series 25 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
April 6, 2016 - January 2, 2020
SUMMIT SECURITIES GROUP LLC
February 14, 2012 - October 8, 2012
VTRADER PRO, LLC
July 1, 2009 - April 18, 2011
RAVEN SECURITIES CORP.
August 1, 2000 - June 26, 2009
BANC OF AMERICA SPECIALIST, INC.
June 5, 2000 - August 28, 2000
APEX CLEARING CORPORATION
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 21
Date: 4/3/2001
NYSE Front Line Specialist ClerkSeries 25
Date: 3/6/2000
NYSE Trading Assistant ExaminationCurrent Firm
SUMMIT SECURITIES GROUP LLC
CRD#: 159283 / SEC#: , 8-68977
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
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.
