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JL

Joseph M. Lander

Some features on this profile are disabled
CRD#: 4574495
JL

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 Martin Lander, who also goes by Joseph M. Lander, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 11 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph M. Lander

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 14, 2016 - March 15, 2021

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
Woodbridge, CT
Past

August 13, 2015 - November 17, 2020

HAMMOND ILES WEALTH ADVISORS

RIA
CRD#: 136372
WETHERSFIELD, CT
Past

August 4, 2015 - March 2, 2016

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
WETHERSFIELD, CT
Past

April 25, 2014 - August 12, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROCKY HILL, CT
Past

April 25, 2014 - August 12, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ROCKY HILL, CT
Past

January 10, 2013 - May 7, 2014

MONEY MATTERS

RIA
CRD#: 122447
AVON, CT
Past

December 20, 2010 - September 28, 2012

KR WEALTH MANAGEMENT, LLC

RIA
CRD#: 127644
FARMINGTON, CT
Past

September 7, 2010 - May 5, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
AVON, CT
Past

September 7, 2010 - May 5, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
AVON, CT
Past

August 3, 2006 - September 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHESHIRE, CT
Past

August 3, 2006 - September 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHESHIRE, CT
Past

October 20, 2004 - August 7, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEWINGTON, CT
Past

October 20, 2004 - August 7, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
NEWINGTON, CT
Past

August 6, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
HARTFORD WEST, CT
Past

August 6, 2003 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

October 21, 2002 - August 25, 2003

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/22/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/22/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/22/2022
General Securities Sales Supervisor - Options Module Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

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

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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