Joseph P. Mims
Professional summary
Joseph P Mims, who also goes by Joseph Mims, is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph P Mims's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2021 - Present
SP SECURITIES LLC
Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057January 2, 2018 - February 12, 2021
ASCENDANT ALTERNATIVE STRATEGIES, LLC
June 17, 2015 - August 2, 2017
OPPENHEIMER & CO. INC.
October 1, 2012 - June 11, 2015
CITIGROUP GLOBAL MARKETS 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
(4/2/2021)
Exams
FINRA
Current Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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