Joseph R. Huard

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CRD#: 1025521

Professional summary

Joseph Raymond Huard JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Joseph had worked at 10 firms, which includes PHILLIP LOUIS TRADING INC., SHAMROCK PARTNERS LTD, SHAMROCK PARTNERS LTD., JEROLD SECURITIES & CO. INC., BAIRD PATRICK & CO. INC., LOWENTHAL FINANCIAL SERVICES INC., PALM BEACH SECURITIES INC., CITIWIDE SECURITIES CORP., SHERWOOD CAPITAL INC., G.C.N. CORP..

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.

Blog Corner

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

February 5, 1998 - December 19, 2002

PHILLIP LOUIS TRADING, INC.

CRD#: 19378

RED BANK, NJ

Past

November 6, 1997 - December 15, 1997

PHILLIP LOUIS TRADING, INC.

CRD#: 19378

Past

June 1, 1989 - January 24, 2002

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

July 15, 1988 - June 1, 1989

SHAMROCK PARTNERS, LTD.

CRD#: 20033

Past

February 3, 1987 - January 1, 1988

JEROLD SECURITIES & CO., INC.

CRD#: 6594

Past

June 3, 1986 - September 29, 1986

BAIRD, PATRICK & CO., INC.

CRD#: 1149

Past

January 9, 1986 - August 4, 1987

LOWENTHAL FINANCIAL SERVICES, INC.

CRD#: 15635

Past

June 11, 1985 - November 11, 1985

PALM BEACH SECURITIES, INC.

CRD#: 2968

Past

October 19, 1983 - June 12, 1985

CITIWIDE SECURITIES CORP.

CRD#: 10707

Past

May 6, 1982 - October 13, 1983

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

April 27, 1982 - May 10, 1982

G.C.N. CORP.

CRD#: 7245

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: 11/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/21/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/10/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 28

Date: 9/20/1990

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/12/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 9/9/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 9/5/1985

General Securities Principal Examination

Current Firm

PHILLIP LOUIS TRADING, INC.

EUROPEAN EQUITY PARTNERS, INC. | PHILLIP LOUIS TRADING, INC. | MORAN & COMPANY, INC. | MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE

CRD#: 19378 / SEC#: , 8-37365

Terminated by SEC on 10/17/2003

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Contact information

Main Address

Mailing Address

Phone number

Established

Connecticut since 01/29/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SUNCOAST HOLDINGS, INC.	OWNER
FIGLIOLINI, JOHNNY PHILLIP JR.	CHAIRMAN, DIRECTOR, GENERAL PRINCIPAL, COMPLIANCE OFFICER	1058617
GOLDSTEIN, MICHAEL ROBERT	GENERAL PRINCIPAL	1819371
KEEFE, DAVID BRIAN	GENERAL PRINCIPAL	1793316
MARTE, RAFAEL LUIS	FINOP	4304158

Disclosures

Regulatory Event	6
Civil Event	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph R. Huard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHILLIP LOUIS TRADING, INC.

SHAMROCK PARTNERS, LTD

SHAMROCK PARTNERS, LTD.

JEROLD SECURITIES & CO., INC.

BAIRD, PATRICK & CO., INC.

LOWENTHAL FINANCIAL SERVICES, INC.

PALM BEACH SECURITIES, INC.

CITIWIDE SECURITIES CORP.

SHERWOOD CAPITAL, INC.

G.C.N. CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1982

Series 55

Date: 4/21/2000

Series 7

Date: 12/19/1981

Series 4

Date: 7/10/2001

Series 28

Date: 9/20/1990

Series 53

Date: 2/12/1990

Series 8

Date: 9/9/1986

Series 24

Date: 9/5/1985

Current Firm

PHILLIP LOUIS TRADING, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHILLIP LOUIS TRADING, INC.

TRUST BUT VERIFY

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