Joan Bubaris
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.
Joan Bubaris, who also goes by Joan Beccaria, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1984. Joan had worked at 15 firms and has passed the Series 66, Series 63, SIE 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
September 6, 2018 - March 14, 2019
KESTRA INVESTMENT SERVICES, LLC
February 23, 2016 - January 29, 2018
COMMONWEALTH FINANCIAL NETWORK
January 22, 2014 - February 18, 2016
ALLSTATE FINANCIAL SERVICES, LLC
April 10, 2012 - December 31, 2012
OSAIC FS, INC.
April 4, 2012 - February 11, 2013
OSAIC FS, INC.
November 17, 2011 - March 1, 2012
SECURITIES SERVICE NETWORK, LLC
February 18, 2010 - November 23, 2011
ASSET & FINANCIAL PLANNING, LTD
February 18, 2010 - November 23, 2011
PRIME CAPITAL SERVICES, INC.
January 23, 2008 - February 2, 2010
CHASE INVESTMENT SERVICES CORP.
January 18, 2008 - February 2, 2010
CHASE INVESTMENT SERVICES CORP.
March 30, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 2006 - January 23, 2008
MSI FINANCIAL SERVICES, INC.
March 9, 2006 - March 29, 2006
CHARLES SCHWAB & CO., INC.
October 21, 2005 - March 29, 2006
CHARLES SCHWAB & CO., INC.
March 18, 1999 - March 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1998 - March 10, 1999
GILFORD SECURITIES INCORPORATED
August 13, 1998 - September 4, 1998
WS GRIFFITH SECURITIES, INC.
December 7, 1984 - September 11, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1984 - February 19, 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
Exams
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
