Joseph F. Stefans
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 Frederick Stefans, who also goes by Joseph F Stefans, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 12 firms and has passed the Series 65, 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
February 3, 2016 - January 18, 2017
INVEST FINANCIAL CORPORATION
January 28, 2016 - January 18, 2017
INVEST FINANCIAL CORPORATION
July 2, 2013 - October 15, 2015
ESSEX NATIONAL SECURITIES, LLC
May 21, 2013 - October 15, 2015
ESSEX NATIONAL SECURITIES, LLC
September 29, 2011 - April 12, 2012
CITIGROUP GLOBAL MARKETS INC.
September 29, 2010 - April 12, 2012
CITIGROUP GLOBAL MARKETS INC.
April 29, 2009 - October 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2008 - February 27, 2009
J.P. MORGAN SECURITIES LLC
December 17, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 24, 2007 - December 3, 2007
BNY MELLON SECURITIES CORPORATION
March 7, 2006 - September 10, 2007
BNY INVESTMENT CENTER INC.
April 1, 2002 - March 6, 2006
CITIGROUP GLOBAL MARKETS INC.
October 6, 1998 - April 25, 2002
PERSHING LLC
September 5, 1996 - October 28, 1998
FCG ADVISORS, LLC
July 3, 1995 - October 10, 1996
FINANCIAL CONSULTANT GROUP, LLC
March 16, 1994 - July 17, 1995
TUCKER ANTHONY 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
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
