Joseph F. Dugos
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 Francis Dugos, who also goes by Joseph F Dlugosz, Joseph Francis Dlugosz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1976. Joseph had worked at 6 firms and has passed the Series 63, Series 7, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 1993 - August 27, 1999
PACIFIC INVESTMENT SECURITIES CORP.
January 21, 1991 - March 4, 1993
PAULSON INVESTMENT COMPANY LLC
September 4, 1990 - December 31, 1990
WELLS FARGO CLEARING SERVICES, LLC
April 14, 1982 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 27, 1981 - December 2, 1981
HINKLE & LAMEAR, INC.
April 21, 1976 - June 19, 1981
MARQUAM CAPITAL CORPORATION
January 27, 1976 - May 9, 1976
HINKLE & LAMEAR, 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
F04
Date: 5/28/1976
Financial Principal ExaminationSeries 40
Date: 3/26/1976
Registered Principal ExaminationCurrent Firm
PACIFIC INVESTMENT SECURITIES CORP.
CRD#: 16339 / SEC#: , 8-33746
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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