Joseph A. Polhill
Professional summary
Joseph Augustus Polhill JR was barred by the FINRA 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 1983. Prior to being barred, Joseph had worked at 5 firms, which includes INVESTORS CAPITAL CORP., NORTH AMERICAN MANAGEMENT INC., TOWER INVESTMENT GROUP INC., WALNUT STREET SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1996 - June 1, 2000
INVESTORS CAPITAL CORP.
May 4, 1994 - October 2, 1995
NORTH AMERICAN MANAGEMENT, INC.
January 4, 1993 - December 19, 1993
TOWER INVESTMENT GROUP, INC.
June 21, 1989 - December 31, 1992
WALNUT STREET SECURITIES, INC.
May 26, 1983 - June 24, 1989
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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