Joshua D. Wilkes
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 David Wilkes, who also goes by Joshua D Wilkes, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2008. Joshua had worked at 4 firms and has passed the Series 63, SIE, Series 62, Series 79 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
December 4, 2014 - November 2, 2018
ERNST & YOUNG CAPITAL ADVISORS, LLC
August 1, 2013 - December 1, 2014
WELLS FARGO SECURITIES, LLC
August 13, 2010 - August 1, 2011
OSAIC FA, INC.
October 6, 2008 - July 13, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 62
Date: 2/23/2015
Corporate Securities Limited Representative ExaminationCurrent Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
