Joseph M. Carballeira
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 M Carballeira, who also goes by Joseph M Carballeira, Joseph Manuel Carballeira, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2018 - November 12, 2019
VALMARK SECURITIES, INC.
January 5, 2017 - May 2, 2017
BURKE & QUICK PARTNERS LLC
June 8, 2001 - November 5, 2008
RAFFERTY CAPITAL MARKETS, LLC
December 22, 1998 - December 8, 1999
ATLANTIC GROUP SECURITIES, INC.
February 5, 1996 - October 8, 1998
BNP PARIBAS SECURITIES CORP.
November 9, 1994 - May 23, 1995
CITIGROUP GLOBAL MARKETS INC.
July 21, 1989 - August 10, 1994
EASTBRIDGE CAPITAL INC.
August 22, 1988 - April 27, 1989
BEEKMAN PARTNERS, LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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