Joseph E. Gardner
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 Edward Gardner, CFP®, who also goes by Joe Gardner, Joseph E Gardner, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 6 firms and has passed the Series 63, Series 22, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1994 - February 14, 1995
COLUMBUS FINANCIAL, INC.
August 27, 1991 - October 19, 1993
CONSOLIDATED INTERCAPITAL CORPORATION
May 23, 1991 - August 13, 1991
GRAMERCY SECURITIES, INC.
April 6, 1990 - May 29, 1991
CITY ASSOCIATES INVESTMENT CORPORATION
May 20, 1987 - January 30, 1990
GEOTECH SECURITIES, CORP.
March 14, 1986 - August 6, 1986
PETRO-SOURCE SECURITIES, 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
Series 1
Date: 3/13/1978
Registered Representative ExaminationCurrent Firm
COLUMBUS FINANCIAL, INC.
CRD#: 22709 / SEC#: , 8-39935
Contact information
Documents
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.
