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Joseph P Mims

SP Securities LLC

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About Joseph P Mims

Joseph P. Mims is a financial advisor with SP Securities LLC in Houston, Texas. He is licensed to conduct business in Texas. Joseph has been in the financial industry since April 2013 and has held previous positions at Oppenheimer & Co. Inc., Citigroup Global Markets Inc., and Ascend Alternative Strategies, LLC. Joseph has Series 63, SIE and Series 79 licenses.

Firm Information

Joseph Mims is currently registered with SP Securities LLC. SP Securities LLC is a Limited Liability Company that was formed on January 15, 2004. The firm is registered with the SEC and in 13 states, including Alabama, California, Colorado, Florida, Illinois, Louisiana, Massachusetts, New Jersey, New York, North Carolina, Rhode Island, Texas, and Washington.

Not reported

Assets Under Management

Not reported

Total Clients

25

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Joseph Mims’s Registration & Firm History

TX

04/02/2021 - Present

SP Securities LLC (HOUSTON TX)

NY

01/02/2018 - 02/12/2021

ASCENDANT ALTERNATIVE STRATEGIES, LLC (WHITE PLAINS NY)

TX

06/17/2015 - 08/02/2017

OPPENHEIMER & CO. INC. (HOUSTON TX)

TX

10/01/2012 - 06/11/2015

CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 09/21/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/28/2012

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph P Mims.
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