Joseph Renna
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 Renna was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2013 - November 11, 2016
WOODSTOCK FINANCIAL GROUP, INC.
November 14, 2011 - May 30, 2013
CHELSEA FINANCIAL SERVICES
April 28, 2010 - November 9, 2011
LEGEND SECURITIES, INC.
July 8, 2009 - March 30, 2010
FIRST MIDWEST SECURITIES, INC.
January 25, 2007 - July 1, 2009
VFINANCE INVESTMENTS, INC
October 21, 2002 - January 17, 2007
J.P. TURNER & COMPANY, L.L.C.
January 30, 2002 - November 14, 2002
GRAYSON FINANCIAL LLC
February 28, 2001 - January 28, 2002
CANTONE RESEARCH INC.
January 1, 2001 - February 23, 2001
J.P. TURNER & COMPANY, L.L.C.
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
