Joshua L. Pesses
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.
Joshua Louis Pesses was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2003. Joshua had worked at 4 firms and has passed the Series 65, Series 63, Series 86, Series 87 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
Experience
February 10, 2020 - December 31, 2020
GOODWOOD CAPITAL MANAGEMENT
October 22, 2013 - March 22, 2019
GOODWOOD ADVISORS
January 24, 2013 - February 4, 2020
GOODWOOD CAPITAL MANAGEMENT
April 15, 2005 - March 13, 2007
BANC OF AMERICA SECURITIES LLC
July 15, 2003 - March 11, 2005
MORGAN KEEGAN & COMPANY, 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
GOODWOOD CAPITAL MANAGEMENT
CRD#: 163595 / SEC#: 801-119214
Contact information
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 10,049,796 |
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.
