Joseph M. Mcgonagle
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 Michael Mcgonagle, who also goes by Joe Mcgonagle, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 25, 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
January 17, 2013 - December 8, 2014
MERRIMAN CAPITAL, INC.
June 1, 2011 - May 31, 2012
JACKSON SECURITIES LLC
September 11, 2009 - February 2, 2011
DOLEY SECURITIES, LLC.
October 19, 2006 - November 6, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 29, 2003 - October 10, 2006
MOORS & CABOT, INC.
May 29, 2001 - November 6, 2003
D.A. DAVIDSON & CO.
January 31, 2001 - April 25, 2001
PREFERREDTRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/11/2004
Limited Representative-Equity Trader ExamSeries 25
Date: 3/2/2004
NYSE Trading Assistant ExaminationCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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