Joseph L. Refsnes
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 Louis Refsnes JR, who also goes by Joe Refsnes Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1979. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - December 8, 2014
REGAL SECURITIES, INC.
July 13, 2010 - November 8, 2011
REGAL SECURITIES, INC.
March 16, 2005 - August 3, 2009
WFG INVESTMENTS, INC.
March 2, 1998 - March 28, 2005
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 14, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
January 15, 1996 - February 14, 1997
PRUDENTIAL EQUITY GROUP, LLC
January 3, 1995 - January 11, 1996
CITIGROUP GLOBAL MARKETS INC.
March 23, 1992 - January 16, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1979 - December 17, 1991
RAUSCHER PIERCE REFSNES, 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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 8
Date: 4/19/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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