Jeffrey A. 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 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
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).
Certified licenses
Experience
March 27, 2009 - Present
STOCK TRADERS
Office #1: 16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647-3815Office #2: 16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647-3815April 13, 1995 - Present
STOCK TRADERS
Office #1: 16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647-3815Office #2: 16152 Beach Blvd. Suite 271, Huntington Beach, CA 92647-3815June 10, 1987 - April 19, 1994
AMERIPRISE ADVISOR SERVICES, INC.
June 13, 1986 - June 30, 1987
KENNEDY, CABOT & CO.
April 17, 1984 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/1995)
(3/27/2009)
(8/19/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 12/15/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
STOCK TRADERS
CRD#: 37711 / SEC#: , 8-47899
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSLIN, JEFFREY ALEX | SOLE PROP. / CHIEF COMPLIANCE OFFICER | 1245475 |
Regulatory assets under management
| Total Number of Accounts | 91 |
| AUM (Assets Under Management) | $ 44,354,122 |
Red Flags
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