Joseph M. Boller
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 Martin Boller, who also goes by Joe Boller, Joey Boller, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 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
June 22, 2005 - May 11, 2015
FIRST INDEPENDENT ADVISORY SERVICES, INC.
September 10, 2004 - May 1, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
August 20, 2004 - September 9, 2004
NTB FINANCIAL CORPORATION
November 20, 2002 - August 13, 2004
CHAPMAN SECURITIES, INC.
August 21, 2002 - August 13, 2004
CHAPMAN SECURITIES, INC.
July 30, 1998 - September 20, 2002
FROGGATTE & COMPANY
May 11, 1998 - July 30, 1998
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
August 1, 1988 - March 27, 1995
MORGAN STANLEY DW INC.
June 5, 1986 - July 19, 1988
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
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CRD#: 132678 / SEC#:
Contact information
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.
