Joel I. Zweig
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.
Joel Israel Zweig, who also goes by Joel Isreal Zweig, Joel Zweig, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1983. Joel had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1996 - December 10, 1999
SCHRODER & CO. INC.
March 24, 1993 - March 11, 1996
UBS SECURITIES LLC
April 2, 1991 - March 1, 1993
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 1990 - March 4, 1991
GKN SECURITIES CORP.
May 1, 1989 - March 10, 1990
MORGAN GLADSTONE & CO. INC.
July 20, 1983 - May 1, 1989
UBS CAPITAL MARKETS L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SCHRODER & CO. INC.
CRD#: 6112 / SEC#: , 8-16918
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 25 |
Red Flags
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