Patrick B. 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.
Patrick Brian Joyce was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1985. Patrick had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 1996 - January 10, 2023
OBERWEIS SECURITIES, INC.
March 30, 1995 - December 31, 1996
THE CHICAGO CORPORATION
September 27, 1993 - September 16, 1994
NEWEDGE FINANCIAL INC.
August 2, 1993 - August 31, 1993
SELECTED FINANCIAL SERVICES, INC.
February 14, 1992 - June 15, 1993
SELECTED FINANCIAL SERVICES, INC.
September 4, 1990 - March 30, 1992
WELLS FARGO CLEARING SERVICES, LLC
September 18, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
August 21, 1985 - September 23, 1989
CARNEGIE FUND DISTRIBUTORS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
OBERWEIS SECURITIES, INC.
CRD#: 42060 / SEC#: , 8-49679
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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