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JD

Joseph T. Denham

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CRD#: 6610447
JD

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 Thomas Denham was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2016. Joseph had worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 17, 2016 - October 15, 2020

FOCUS STRATEGIES MERCHANT BANKING, LLC

BD
CRD#: 172021
Austin, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/14/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 5/17/2016
Corporate Securities Limited Representative Examination

Current Firm

FS
FOCUS STRATEGIES MERCHANT BANKING, LLC
FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021 / SEC#: , 8-69495

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Mailing Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Phone number
(512) 477-3280
Established
Texas since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOCUS STRATEGIES PARTNERS, LLCOWNER
HELLER, JEFFREY PHILIPFINOP, PFO, POO3139370
SANDLIN, JAMES OLIVERCHIEF COMPLIANCE OFFICER4428785
VALDEZ, FRANK GARYPRESIDENT4998611

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.

Company Information

FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021

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