Joseph A. Atencio
Professional summary
Joseph Anthony Atencio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Joseph had worked at 10 firms, which includes WHITEHALL-PARKER SECURITIES INC., WELLINGTON SECURITIES INC., LAM SECURITIES INVESTMENTS INC., HUTCHINSON SECURITIES, LANACO SECURITIES CORPORATION, DRB FINANCIAL INC., ENTERPRISE FUND DISTRIBUTORS INC., ALPHA MANAGEMENT INC., MITCHUM JONES & TEMPLETON INCORPORATED, WILLIAM HUTCHINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1999 - January 22, 2008
WHITEHALL-PARKER SECURITIES, INC.
November 17, 1993 - May 15, 1997
WELLINGTON SECURITIES, INC.
March 13, 1989 - August 21, 1989
LAM SECURITIES INVESTMENTS, INC.
March 6, 1989 - August 26, 1989
HUTCHINSON SECURITIES
January 31, 1982 - October 24, 1991
LANACO SECURITIES CORPORATION
April 24, 1978 - February 1, 1980
DRB FINANCIAL, INC.
November 23, 1977 - April 7, 1978
ENTERPRISE FUND DISTRIBUTORS, INC.
April 30, 1973 - October 26, 1977
ALPHA MANAGEMENT INC.
March 9, 1973 - June 16, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
October 19, 1970 - February 2, 1973
WILLIAM HUTCHINSON & 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
F04
Date: 8/21/1975
Financial Principal ExaminationSeries 40
Date: 11/7/1968
Registered Principal ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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