Joseph J. Tona
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 John Tona, who also goes by Joseph J Tona, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2015. Joseph had worked at 5 firms and has passed the 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 25, 2021 - January 2, 2026
PENTEGRA DISTRIBUTORS INC.
April 11, 2019 - December 21, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 27, 2017 - November 2, 2018
RESOURCE SECURITIES LLC
November 24, 2015 - February 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 2015 - February 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2015 - October 20, 2015
CHELSEA FINANCIAL SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
PENTEGRA DISTRIBUTORS INC.
CRD#: 26249 / SEC#: , 8-42445
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
