Joyce W. Rubin
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 Wendy Rubin, who also goes by Joyce W Rubin, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1987. Joyce had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2009 - January 18, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 14, 1999 - February 8, 2000
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
April 27, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
November 6, 1995 - January 29, 1996
DETWILER FENTON & CO.
April 18, 1989 - July 1, 1993
UBS FINANCIAL SERVICES INC.
May 14, 1988 - January 25, 1989
LEHMAN BROTHERS INC.
May 21, 1987 - May 14, 1988
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
Current Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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