Joseph R. Bartels
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 Robert Bartels was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1976. Joseph had worked at 11 firms and has passed the Series 63, SIE 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
November 21, 2011 - December 31, 2025
CENTRAL STATES CAPITAL MARKETS, LLC
January 2, 2008 - November 18, 2011
DEWAAY FINANCIAL NETWORK, LLC
August 31, 2006 - November 3, 2006
GOLD CAPITAL MANAGEMENT INC.
June 1, 2006 - January 2, 2008
M&I FINANCIAL ADVISORS, INC
April 19, 2001 - June 1, 2006
GOLD CAPITAL MANAGEMENT INC.
April 2, 1996 - April 19, 2001
MIDWEST CAPITAL MANAGEMENT INC.
May 20, 1991 - May 4, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1990 - July 11, 1991
OPPENHEIMER & CO. INC.
August 6, 1986 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
March 14, 1984 - July 23, 1986
LM CONSOLIDATED FINANCIAL CORP.
June 6, 1983 - March 19, 1984
R. ROWLAND & CO., INCORPORATED
December 2, 1976 - April 6, 1978
H.O. PEET & CO., 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
Current Firm
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 13,702,190 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
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.
