Joseph A. Sugg
Professional summary
Joseph Andrew Sugg II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Joseph had worked at 4 firms, which includes WALL AND COMPANY SECURITIES INC., FINDOM ADVISORS LLC, CAPITAL FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2010 - December 3, 2010
WALL AND COMPANY SECURITIES, INC.
August 4, 2008 - October 29, 2009
FINDOM ADVISORS LLC
June 14, 2006 - May 20, 2008
CAPITAL FINANCIAL SERVICES, INC.
June 14, 2006 - May 20, 2008
CAPITAL FINANCIAL SERVICES, INC.
January 13, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
WALL AND COMPANY SECURITIES, INC.
CRD#: 40894 / SEC#: , 8-49257
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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