Joseph M. Weindling
Professional summary
Joseph Michael Weindling, who also goes by Joseph Weindling, is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Weindling's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2022 - Present
NABSECURITIES, LLC
Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172August 14, 2020 - January 5, 2022
EQUITABLE ADVISORS, LLC
June 29, 2020 - January 5, 2022
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/20/2022)
Exams
Series 7TO
Date: 6/29/2020
General Securities Representative ExaminationFINRA
Current Firm
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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