Joan K. Quaglia
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 Katherine Quaglia, who also goes by Joan Katherine Bruckner, Joan Katherine Hofstetter, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1991. Joan had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 11 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2012 - January 21, 2016
TD AMERITRADE, INC.
June 23, 2010 - June 20, 2011
MEB OPTIONS, LLC
July 10, 2006 - May 25, 2010
OPTIONSXPRESS, INC.
July 24, 2002 - April 24, 2006
G1 EXECUTION SERVICES, LLC
March 28, 2002 - July 9, 2002
MELVIN SPECIALISTS, L.L.C.
June 11, 2001 - December 6, 2001
MELVIN SECURITIES, L.L.C.
July 23, 1998 - December 7, 1999
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1994 - January 6, 1998
GVR COMPANY
December 23, 1991 - January 3, 1994
PWMCO, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 8/12/1998
Limited Representative-Equity Trader ExamSeries 11
Date: 12/19/1991
Assistant Representative-Order Processing Qualification ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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