Joshua D. Kottle
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 David Kottle was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2003. Joshua had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2009 - May 5, 2014
PORT SECURITIES, INC.
March 7, 2008 - July 6, 2009
NEWPORT COAST SECURITIES, INC.
March 6, 2008 - July 6, 2009
NEWPORT COAST SECURITIES, INC.
September 6, 2007 - March 4, 2008
OSAIC FA, INC.
September 6, 2007 - March 4, 2008
OSAIC FA, INC.
September 25, 2006 - May 1, 2007
NEXCORE FINANCIAL SERVICES, INCORPORATED
October 29, 2003 - May 1, 2007
NEXCORE CAPITAL, 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
PORT SECURITIES, INC.
CRD#: 43936 / SEC#: , 8-50492
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEMMON, RICHARD HORATIO JR | PRESIDENT, CFO,CCO & SECRETARY | 1874827 |
Disclosures
| Regulatory Event | 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.
