Joseph G. Dasti
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 Guy Dasti SR, who also goes by Joseph Guy Dasti, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 5 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 1985 - November 26, 1986
SWARTWOOD, HESSE INC.
January 4, 1977 - February 6, 1985
SEABOARD SECURITIES, INC.
April 2, 1976 - February 19, 1977
BOWLING GREEN SECURITIES, INC.
June 18, 1975 - August 8, 1991
SEABOARD SECURITIES, INC.
June 9, 1972 - October 14, 2002
MAYHILL AGENCY, LLC
January 26, 1968 - June 7, 1973
MAYFLOWER SECURITIES CO., 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 1
Date: 1/24/1968
Registered Representative ExaminationSeries 00
Date: 11/15/1968
General Securities Principal ExaminationCurrent Firm
SWARTWOOD, HESSE INC.
CRD#: 8603 / SEC#: , 8-25778
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
