Joseph R. Kapka
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 Kapka was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1979. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2007 - May 11, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
December 19, 2001 - September 25, 2008
PRUNEYARD FINANCIAL GROUP, INC.
April 14, 2000 - May 11, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
November 10, 1995 - April 25, 2000
D.E. FREY & COMPANY, INC.
September 4, 1990 - November 3, 1995
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1981 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 9, 1980 - May 28, 1981
BIRR, WILSON & CO., INC.
September 26, 1979 - January 14, 1980
HAMBRECHT & QUIST LLC
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
