Joseph A. Majike
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 Albert Majike JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1975. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 5 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
May 11, 2016 - March 18, 2019
WOOD (ARTHUR W.) COMPANY, INC.
August 18, 2003 - May 6, 2016
DETWILER FENTON & CO.
July 1, 1998 - August 22, 2003
COWEN AND COMPANY
July 15, 1987 - July 1, 1998
FINANCIAL SQUARE PARTNERS
May 6, 1985 - July 28, 1987
MOSELEY SECURITIES CORPORATION
November 12, 1980 - May 13, 1985
J.P. MORGAN SECURITIES LLC
February 22, 1978 - December 12, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 3, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
November 20, 1975 - April 18, 1977
PAINE, WEBBER, JACKSON & CURTIS 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 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
