Stephen T. Joyce
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.
Stephen Thomas Joyce, who also goes by Steve Joyce, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24 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
August 28, 2012 - July 13, 2023
CAPITAL CLIENT GROUP, INC.
October 29, 2008 - January 19, 2010
HARTFORD FUNDS DISTRIBUTORS, LLC
August 23, 1995 - January 19, 2010
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 3, 1990 - January 19, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
September 22, 1989 - January 24, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 3, 1988 - September 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
January 9, 1984 - October 11, 1988
INVEST FINANCIAL CORPORATION
May 5, 1983 - December 26, 1984
A.C. JOYCE & ASSOCIATES, INC.
January 27, 1982 - August 2, 1982
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
