Joseph C. Kale
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 Christopher Kale, who also goes by Joseph Christofer Kale, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1975. Joseph had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 3, Series 24 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
July 28, 1999 - November 7, 2013
RCM SECURITIES
November 12, 1998 - January 15, 1999
SCHONFELD SECURITIES, LLC
April 28, 1980 - July 26, 1981
E. F. HUTTON & COMPANY INC
September 26, 1978 - May 18, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 14, 1975 - July 19, 1978
BANGOR SECURITIES, INC.
January 2, 1975 - September 27, 1975
MARK SECURITIES, 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 55
Date: 7/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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