Joseph Taub
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 Taub was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 6 firms and has passed the Series 55 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
March 17, 2011 - May 10, 2011
CHIMERA SECURITIES, LLC
May 7, 2007 - November 6, 2008
OFFMAN SECURITIES, LLC
March 3, 2003 - October 15, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 26, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
November 13, 2001 - January 14, 2002
IDS LIFE INSURANCE COMPANY
November 13, 2001 - January 14, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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 55
Date: 7/31/2003
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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