Jay G. Joyce
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.
Jay Garrett Joyce, who also goes by Jay G Joyce, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1983. Jay had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2014 - January 6, 2016
CORECAP INVESTMENTS, LLC
August 1, 2011 - September 14, 2012
LPL FINANCIAL LLC
January 12, 2009 - December 31, 2009
RIVERSOURCE DISTRIBUTORS, INC.
July 19, 2007 - January 22, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 17, 1999 - June 6, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 17, 1999 - December 13, 1999
VERAVEST INVESTMENTS, INC.
February 11, 1997 - June 30, 1997
MORGAN STANLEY DW INC.
March 13, 1990 - January 17, 1997
ESSEX NATIONAL SECURITIES, LLC
March 3, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 3, 1988 - December 31, 1991
MONY SECURITIES CORPORATION
December 18, 1986 - February 19, 1988
INVEST FINANCIAL CORPORATION
June 10, 1985 - December 12, 1986
GUARDIAN INVESTOR SERVICES LLC
October 19, 1983 - November 23, 1984
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
