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Joseph Stephen Parks

Sage, Rutty & Co., Inc.

Rochester, NY

Rochester, NY

Rochester, NY

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Current Employers
Sage, Rutty & Co., Inc.

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-03-09
NY RA APPROVED 2022-03-08
  • FL RA
    APPROVED
    Since 2022-03-09
  • NY RA
    APPROVED
    Since 2022-03-08

Branch Locations

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

100 Corporate Woods Suite 300, Rochester, NY 14623 • UNITED STATES

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Zenetex Llc/ Ltm Llc Havelock NC 12/2014 10/2017
Axa Advisors Llc New York NY 10/2017 11/2019
Ameriprise Financial Services, Inc Rochester NY 11/2019 02/2022
Sage, Rutty & Co., Inc. Rochester NY 03/2022 Present
  • 12/2014 → 10/2017
    Zenetex Llc/ Ltm Llc
    Havelock, NC
  • 10/2017 → 11/2019
    Axa Advisors Llc
    New York, NY
  • 11/2019 → 02/2022
    Ameriprise Financial Services, Inc
    Rochester, NY
  • 03/2022 → Present
    Sage, Rutty & Co., Inc.
    Rochester, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-20
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S66 Uniform Combined State Law Examination
    2019-11-20
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09
Other Names
  • Joseph Parks

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
UBS FINANCIAL SERVICES INC. · ROCHESTER, NY
MARINER · Rochester, NY

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