Johannes Pistorius
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.
Johannes Pistorius, who also goes by Joe Pistorius, Johannes J Pistorius, Johannes Jurie Botha Pistorius, was a registered financial professional .
Johannes is a previously registered financial professional and started their career in finance in 2006. Johannes had worked at 4 firms and has passed the Series 66, SIE 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
December 13, 2011 - January 29, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 1, 2009 - November 3, 2011
GUARDIAN INVESTOR SERVICES LLC
October 11, 2007 - September 9, 2009
MMC SECURITIES LLC
October 11, 2007 - September 9, 2009
MMC SECURITIES LLC
June 13, 2006 - July 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2006 - July 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil 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.
