Joseph T. Slavin
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 Thomas Slavin, who also goes by Joseph T Scavin, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 7 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
September 4, 2012 - May 16, 2016
LEGEND SECURITIES, INC.
September 1, 2010 - August 27, 2012
LEK SECURITIES CORPORATION
August 1, 1988 - September 17, 2010
OPPENHEIMER & CO. INC.
August 27, 1987 - August 6, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
March 22, 1984 - September 10, 1987
E. F. HUTTON & COMPANY INC
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 15
Date: 5/7/1984
Foreign Currency Options ExaminationCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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