Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Ungerecht is a financial professional with over 15 years of experience in the industry. Currently, Joshua is registered with Exchangeright Securities, LLC, which is located in Pasadena, California. Prior to joining Exchangeright Securities, LLC, Joshua has worked with Lighthouse Capital Group, LLC, SANDLAPPER SECURITIES, LLC, NELSONREID, INC., STEVEN L. FALK & ASSOCIATES INC., INDEPENDENT FINANCIAL GROUP, LLC, and OMNI BROKERAGE, INC. Joshua holds a Series 66, Series 65, and Series 63 license and has passed the General Securities Principal Examination (Series 24). Joshua is registered in 37 states.
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.
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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2
CA
10/09/2017 - Present
Exchangeright Securities, LLC (PASADENA CA)
CA
09/07/2011 - 06/24/2014
SANDLAPPER SECURITIES, LLC (PASADENA CA)
CA
05/17/2011 - 09/06/2011
NELSONREID, INC. (PASADENA CA)
CA
11/04/2009 - 05/18/2011
STEVEN L. FALK & ASSOCIATES INC. (PASADENA CA)
CA
06/29/2007 - 11/06/2009
INDEPENDENT FINANCIAL GROUP, LLC (PASADENA CA)
CA
08/14/2006 - 06/29/2007
OMNI BROKERAGE, INC. (PASADENA CA)
BOTH
Issued 01/10/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/05/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/16/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/11/2007
Series 7 - General Securities Representative Examination
BC
Issued 08/12/2006
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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