Joyce M. Desforges

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CRD#: 1020249

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.

Joyce Marie Desforges was a registered financial professional .

Joyce is a previously registered financial professional and started their career in finance in 1981. Joyce had worked at 3 firms and has passed the Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 17, 1990 - July 12, 1993

AMERICAN SECURITIES & RESEARCH CORPORATION

CRD#: 19404

Past

November 9, 1988 - June 1, 1990

CAMBRIDGE-NEWPORT COMPANY, INC.

CRD#: 18887

Past

December 18, 1981 - November 22, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/9/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/11/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/19/1987

Investment Company Products/Variable Contracts Principal Examination

Current Firm

AMERICAN SECURITIES & RESEARCH CORPORATION

CRD#: 19404 / SEC#: , 8-37465

Terminated by SEC on 03/19/1996

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Contact information

Main Address

Mailing Address

Phone number

Established

Rhode Island since 01/30/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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