Joseph L. Varszegi
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 Laszlo Varszegi was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 11 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2006 - May 7, 2009
ADVANCED CAPITAL ADVISORS, LLC
January 26, 2005 - December 31, 2005
ADVANCED CAPITAL ADVISORS, LLC
February 14, 2002 - December 31, 2004
ADVANCED CAPITAL ADVISORS, LLC
September 15, 1995 - August 7, 1996
QUANTUM GROUP, LTD.
September 13, 1988 - June 16, 1989
J. T. MORAN & CO., INC.
August 14, 1979 - July 26, 1988
NORTH AMERICAN INVESTMENT CORP.
January 10, 1978 - March 3, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
November 22, 1977 - January 28, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
February 11, 1974 - November 8, 1974
HAYDEN STONE INC.
February 2, 1973 - January 12, 1974
DUPONT WALSTON, INCORPORATED
June 12, 1972 - November 17, 1972
ADVEST, INC.
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 1
Date: 5/25/1972
Registered Representative ExaminationCurrent Firm
ADVANCED CAPITAL ADVISORS, LLC
CRD#: 113628 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 375 |
| AUM (Assets Under Management) | $ 105,000,000 |
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.
