Joseph B. Testa
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 Bruce Testa was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 5 firms and has passed the Series 63, Series 2, Series 15 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
October 24, 1994 - February 21, 2024
TESTA FINANCIAL MANAGEMENT, INC.
March 16, 1988 - February 23, 1989
FIRST LAUDERDALE SECURITIES, INC.
January 27, 1986 - June 25, 1986
JW GENESIS CLEARING CORP.
November 15, 1984 - February 3, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
January 19, 1981 - November 5, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 2
Date: 7/29/1994
Non-Member General Securities ExaminationSeries 15
Date: 7/22/1985
Foreign Currency Options ExaminationCurrent Firm
TESTA FINANCIAL MANAGEMENT, INC.
CRD#: 142290 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 70 |
| AUM (Assets Under Management) | $ 25,000 |
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.
