Jose G. Perales
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.
Jose Guadalupe Perales, who also goes by Joe Perales, Jose G Perales, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2007. Jose had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2021 - November 19, 2021
MISSIONSQUARE INVESTMENT SERVICES
October 20, 2021 - November 19, 2021
MISSIONSQUARE RETIREMENT
August 9, 2021 - October 1, 2021
PRUCO SECURITIES, LLC.
May 19, 2021 - October 1, 2021
PRUCO SECURITIES, LLC.
April 10, 2017 - November 9, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 10, 2017 - April 20, 2021
MUTUAL OF AMERICA SECURITIES LLC
August 19, 2016 - March 21, 2017
MISSIONSQUARE INVESTMENT SERVICES
February 24, 2012 - May 16, 2016
MUTUAL OF AMERICA SECURITIES LLC
February 24, 2012 - May 16, 2016
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
August 2, 2011 - January 30, 2012
COMERICA SECURITIES
April 30, 2007 - October 6, 2010
CHASE INVESTMENT SERVICES CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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