Jeffrey Alex Joslin
Professional Summary
Jeffrey Alex Joslin, who also goes by Jeffrey A Joslin, is a registered financial advisor currently at STOCK TRADERS located in Huntington Beach, California. Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Jeffrey has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 9, Series 14, Series 10, Series 53, Series 27, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeffrey A Joslin
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Contact Information
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Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
JOSLIN, JEFFREY ALEX | STOCK TRADERS
Contact Information
Main Address
16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647Mailing Address
16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647-3815Phone Number
(714) 375-1788Established
California since 11/30/1994Firm Type
Sole ProprietorshipFiscal Year End
DecemberFirm Size
Small# of Employees
3FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSLIN, JEFFREY ALEX | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 1245475 |
Regulatory Assets Under Management
Total Number of Accounts
96AUM (Assets Under Management)
$49,188,129Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(4/27/1995)
(3/27/2009)
(8/19/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1987SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alex Joslin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Alex Joslin's CRS (Customer Relationship Summary).
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