Ian J. Joseph
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.
Ian Jack Joseph was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2001. Ian had worked at 3 firms and has passed the Series 63, Series 7 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 8, 2008 - December 18, 2013
STRATEGIC TRANSITION SECURITIES, LLC
April 23, 2007 - March 6, 2008
QUEST CAPITAL STRATEGIES, INC.
January 22, 2001 - May 26, 2005
CITIGROUP GENEVA CAPITAL STRATEGIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STRATEGIC TRANSITION SECURITIES, LLC
CRD#: 146952 / SEC#: , 8-67862
Contact information
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.
