Joseph E. Spencer
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.
Joseph Edward Spencer JR, who also goes by Joseph Edward Spencer, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 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
September 11, 2009 - July 28, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
April 17, 2002 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
November 10, 1999 - June 8, 2001
FISERV CORRESPONDENT SERVICES, INC.
April 7, 1998 - November 12, 1999
JW GENESIS CLEARING CORP.
June 9, 1997 - January 5, 1998
BRAUER & ASSOCIATES, INC.
March 19, 1997 - April 8, 1997
BRAUER & ASSOCIATES, INC.
January 2, 1997 - April 3, 1997
EURO-ATLANTIC SECURITIES 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
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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