Joseph M. Vallee
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 Michael Vallee was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2010. Joseph had worked at 2 firms and has passed the Series 63 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
July 16, 2012 - October 31, 2013
ST. CHARLES CAPITAL, LLC
December 7, 2010 - February 23, 2012
J.P. MORGAN SECURITIES LLC
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
Current Firm
ST. CHARLES CAPITAL, LLC
CRD#: 133685 / SEC#: , 8-66758
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, WESLEY ALAN | CCO, MANAGING DIRECTOR | 1173831 |
| FRANSON, MICHAEL CARL | MEMBER MANAGER, CEO, MANAGING DIRECTOR | 1184932 |
| HOYT, BRUCE LAURENT | MANAGING DIRECTOR | 1309749 |
| ROBINSON, DOUGLAS SCOTT | MEMBER MANAGER, MANAGING DIRECTOR | 1567704 |
| HAYMONS, CHRISTOPHER DANIEL | MEMBER MANAGER, MANAGING DIRECTOR | 2292388 |
| HAYNES, ADAM TUDOR | MEMBER MANAGER, MANAGING DIRECTOR | 2085481 |
| BLUTH, DAVID JOSHUA | PRINCIPAL | 5004772 |
| FIEDOR, ADAM CHRISTOPHER | PRINCIPAL | 2741301 |
| GERSTENKORN, LAURIE ANN | FINOP | 5919725 |
| RADECKI, JOSEPH ANTHONY | MANAGING DIRECTOR | 2119268 |
| RICHTER, MICHAEL DEAN | PRINCIPAL | 4941696 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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