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JR

Joanna V. Rotter

NEXBANK SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4463058
JR

Professional summary

Joanna Virginia Rotter, who also goes by Joanna VIrginia Kondratowicz, Joanna Virginia Konoranowicz, Joanna Virginia Konoratowicz, is a registered financial professional currently at NEXBANK SECURITIES INC located in Dallas, Texas.

Joanna is registered as a RR (Registered Representative) and started their career in finance in 2002. Joanna has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joanna Virginia Kondratowicz | Joanna Virginia Konoranowicz | Joanna Virginia Konoratowicz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joanna Virginia Rotter's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 6, 2011 - Present

NEXBANK SECURITIES INC

Office #1: 2515 Mckinney Ave Suite 1100, Dallas, TX 75201Office #2: 2515 Mckinney Ave Suite 1100, Dallas, TX 75201
BD
CRD#: 133267
Dallas, TX
Past

February 8, 2002 - June 12, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(7/6/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEXBANK SECURITIES INC
NEXBANK CAPITAL ADVISORS | PROSPECT SECURITIES, LP | NEXBANK WEALTH ADVISORS | NEXBANK SECURITIES, INC. | NEXBANK SECURITIES INC

CRD#: 133267 / SEC#: 801-111780, 8-66705

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2515 Mckinney Ave Suite 1100, Dallas, TX 75201
Mailing Address
2515 Mckinney Ave Suite 1100, Dallas, TX 75201
Phone number
(972) 763-4000
Established
Delaware since 05/25/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NEXBANK SECURITIES INC. ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
NEXBANK CAPITAL, INC.STOCKHOLDER
HODGES, STACY MALINDAFINOP/ PFO/ POO2544755
HOLT, DAVID ERICPRESIDENT/ CHIEF COMPLIANCE OFFICER AND AMLO2426935

Regulatory assets under management

Total Number of Accounts3
AUM (Assets Under Management)$ 882,487

Disclosures

Regulatory Event2

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.

Company Information

NEXBANK SECURITIES INC

CRD#: 133267Dallas, TX 75201

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