Joyce K. Gonzalez
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 Katzman Gonzalez, who also goes by J Hoyos, Joyce Katzman Hoyos, Joyce Katzman Montoya, J Velez, Joyce Katzman Velez, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1985. Joyce had worked at 15 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 53, Series 27, 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 22, 2019 - November 10, 2020
W&S BROKERAGE SERVICES, INC.
September 21, 2007 - April 21, 2011
CHASE INVESTMENT SERVICES CORP.
September 21, 2007 - April 21, 2011
CHASE INVESTMENT SERVICES CORP.
April 10, 2006 - September 10, 2007
SANDLAPPER SECURITIES, LLC
June 9, 2005 - December 31, 2005
SAFEGUARD SECURITIES, INC.
November 3, 2004 - December 31, 2005
AMERICA NORTHCOAST SECURITIES, INC.
March 26, 2001 - October 13, 2004
QUESTAR CAPITAL CORPORATION
July 21, 2000 - March 21, 2001
J.P. TURNER & COMPANY, L.L.C.
February 25, 2000 - July 14, 2000
R.K. GRACE & COMPANY
September 29, 1998 - September 2, 1999
OPPENHEIMER & CO. INC.
September 3, 1996 - June 30, 1998
ITRADEDIRECT.COM CORP
April 5, 1994 - August 19, 1996
HARDMAN FINANCIAL SERVICES, INC.
June 18, 1992 - February 23, 1994
FIRST UNION BROKERAGE SERVICES, INC.
April 23, 1991 - October 2, 1991
WORLD INVEST CORPORATION
February 27, 1987 - September 11, 1990
KENNEDY, CABOT & CO.
July 24, 1985 - November 8, 1985
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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 6TO
Date: 2/14/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
