Joseph F. Wittermann
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 Francis Wittermann, who also goes by Joseph Witterman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 1977 - December 18, 1998
MELHADO, FLYNN & ASSOCIATES, INC.
November 29, 1976 - March 10, 1977
UBS ASSET MANAGEMENT (US) INC.
October 8, 1976 - January 3, 1977
REYNOLDS SECURITIES, INC.
July 15, 1968 - February 14, 1977
BAKER, WEEKS & CO., 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
Current Firm
MELHADO, FLYNN & ASSOCIATES, INC.
CRD#: 7340 / SEC#: , 8-21387
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOHRENWEND, ROBERT CHARLES | MUNICIPAL PRINCIPAL/DIRECTOR/SECRETARY | 69468 |
| KENNEDY, DORIS, SPENCE | SHAREHOLDER | |
| MELHADO, FREDERICK ANDERSON | CHAIRMAN/DIRECTOR | 331543 |
| CORSON, JOHN HUGHES JR | CHIEF COMPLIANCE OFFICER | 500067 |
| MELHADO, PETER ALLAN BUHL | SHAREHOLDER | 1939196 |
| MOTZ, GEORGE MICHAEL | PRESIDENT/CEO/CHAIRMAN OF EXECUTIVE COMMITTEE/DIRECTOR | 341621 |
| MCCARTHY, JEANNE MARIE | FINANCIAL OPS PRINCIPAL/DIRECTOR OF COMPLIANCE COORDINATION | 1379712 |
| ROE, WILLIAM GARY | BRANCH MGR/VP | 402454 |
| TURNER, SANDRA TERESA | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1599333 |
Disclosures
| Regulatory Event | 8 |
| Criminal | 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.
