Joseph M. Urban
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.
Joseph Michael Urban was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 31, Series 3, Series 7, Series 14, Series 53, Series 27, Series 8, 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
April 24, 2007 - April 22, 2024
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
January 30, 2006 - May 4, 2006
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
January 30, 2006 - April 22, 2024
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
March 31, 2004 - January 27, 2006
ONEAMERICA SECURITIES, INC.
November 14, 2000 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
November 14, 2000 - January 27, 2006
ONEAMERICA SECURITIES, INC.
April 1, 1998 - September 1, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 25, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
November 17, 1994 - July 24, 1997
TRUIST INVESTMENT SERVICES, INC.
July 6, 1988 - October 26, 1994
ADVEST, INC.
April 16, 1985 - July 12, 1988
TOWER SQUARE SECURITIES, INC.
February 26, 1982 - March 25, 1985
ADVEST, INC.
Primary Firm SEC Registration
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/4/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 4/19/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | CCO | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 857,718,871 |
Disclosures
| Regulatory Event | 2 |
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.
