Joseph A. Ewing

SOUTHEAST INVESTMENTS, N.C.

Charlotte, NC 28217

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CRD#: 711133

Professional summary

Joseph Allan Ewing is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1980. Joseph has worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Joseph Allan Ewing's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 14, 2011 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217

RIA

CRD#: 43035

Charlotte, NC

Past

May 10, 2006 - June 18, 2010

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

March 2, 2004 - October 21, 2004

HIGH MARK SECURITIES, INC.

CRD#: 42467

LAKELAND, FL

Past

April 16, 2001 - February 18, 2004

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

June 30, 1999 - March 8, 2000

SUMMIT TRADING, INC.

CRD#: 43160

HOUSTON, TX

Past

December 1, 1998 - June 28, 1999

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

November 14, 1997 - October 7, 1998

BLOCK TRADING INC.

CRD#: 36666

HOUSTON, TX

Past

October 3, 1996 - September 30, 1997

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

June 1, 1993 - October 4, 1994

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

August 30, 1990 - May 29, 1991

KINGSTON RESOURCES,INC.

CRD#: 23044

CHARLOTTE, NC

Past

December 16, 1986 - June 22, 1988

SCEPTER SECURITIES, INC.

CRD#: 14867

Past

August 6, 1984 - February 12, 1986

HI SECURITIES, INC.

CRD#: 4233

Past

May 21, 1982 - August 20, 1984

WADDELL & REED

CRD#: 866

Past

September 25, 1980 - June 28, 1982

MARION BASS SECURITIES CORPORATION

CRD#: 7961

Past

July 1, 1980 - September 25, 1980

MARION SECURITIES CORPORATION

CRD#: 7535

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(1/14/2011)

South Carolina
(1/30/2019)

Exams

State Security Law Exam

Series 63

Date: 12/18/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/23/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Joseph A. Ewing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Allan Ewing's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

HIGH MARK SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

SUMMIT TRADING, INC.

TAFFERER TRADING, LLC

BLOCK TRADING INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

SECURITIES AMERICA, INC.

KINGSTON RESOURCES,INC.

SCEPTER SECURITIES, INC.

HI SECURITIES, INC.

WADDELL & REED

MARION BASS SECURITIES CORPORATION

MARION SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2006

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1980

Series 1

Date: 6/23/1980

Series 24

Date: 2/27/1998

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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