Joseph C. Walterbach
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 Charles Walterbach, who also goes by Joe Walterbach, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 10 firms and has passed the Series 63, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 1988 - July 10, 1989
EQUITY ENGINEERING, INC.
October 8, 1987 - June 25, 1988
MORGAN STANLEY DW INC.
May 26, 1987 - September 11, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 8, 1986 - February 28, 1987
PRUCO SECURITIES, LLC.
May 29, 1985 - September 7, 1985
MORGAN STANLEY DW INC.
September 6, 1984 - April 1, 1985
LEHMAN BROTHERS INC.
September 20, 1982 - October 17, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1982 - September 23, 1982
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1980 - May 20, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1973 - September 15, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
March 2, 1973 - September 15, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1973 - September 15, 1980
IDS LIFE INSURANCE COMPANY
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: 2/26/1973
Registered Representative ExaminationSeries 8
Date: 12/28/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQUITY ENGINEERING, INC.
CRD#: 8260 / SEC#: , 8-24892
Contact information
Documents
Red Flags
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