Joseph A. Wall
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 Allen Wall JR., CFP®, who also goes by Joe Wall, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 4 firms and has passed the Series 63, Series 65, 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
Start date: 2004
Experience
November 13, 2014 - August 4, 2016
KALOS CAPITAL, INC.
November 12, 2014 - August 4, 2016
KALOS MANAGEMENT
September 5, 2014 - November 13, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 11, 2014 - November 13, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 31, 2001 - July 14, 2014
CHERRY BEKAERT WEALTH MANAGEMENT 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
Current Firm
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 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.
