Joshua S. Needle
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 Samuel Needle, who also goes by Joshua S Needle, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2008. Joshua had worked at 3 firms and has passed the Series 63, 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
May 7, 2019 - February 10, 2022
DALMORE GROUP LLC
June 13, 2018 - December 6, 2018
DALMORE GROUP LLC
May 27, 2010 - March 11, 2011
NORTHEAST SECURITIES, LLC
May 22, 2008 - December 31, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
