Joseph E. Clauson
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 Edward Clauson, who also goes by Jack Clauson, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - April 27, 2015
OPPENHEIMER & CO. INC.
February 18, 2011 - April 27, 2015
OPPENHEIMER & CO. INC.
June 1, 2009 - February 28, 2011
MORGAN STANLEY
June 1, 2009 - February 28, 2011
MORGAN STANLEY
April 8, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 9, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 25, 1983 - October 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 24, 1981 - August 19, 1983
SUTRO & CO. INCORPORATED
February 24, 1978 - December 15, 1981
MORGAN STANLEY DW INC.
May 17, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 23, 1976 - April 24, 1977
BIRR, WILSON & CO., INC.
November 21, 1974 - February 16, 1976
WESCO SECURITIES, INC.
December 28, 1970 - August 11, 1973
INDEPENDENT SECURITIES CORPORATION
April 3, 1970 - February 14, 1971
SEABOARD SECURITIES, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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: 11/14/1969
Registered Representative ExaminationSeries 00
Date: 12/15/1971
General Securities Principal ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
