Joe R. Stringer
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.
Joe Robert Stringer, who also goes by Robert Stringer, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1986. Joe had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - May 11, 2012
TEXAS E&P PARTNERS, INC.
March 12, 2010 - January 5, 2011
TRANSCEND CAPITAL
February 19, 2009 - December 31, 2009
EVOLVE INVESTMENT ADVISORS
February 19, 2009 - February 22, 2010
EVOLVE SECURITIES, INC.
October 8, 2003 - February 27, 2009
MOMENTUM INDEPENDENT NETWORK INC.
August 19, 2003 - February 27, 2009
MOMENTUM INDEPENDENT NETWORK INC.
August 16, 1996 - December 9, 1996
FIRST USA CAPITAL MARKETS, INC.
May 24, 1996 - August 16, 1996
PINEBRIDGE SECURITIES LLC
May 26, 1994 - March 14, 1996
RAUSCHER PIERCE REFSNES, INC.
November 16, 1992 - June 3, 1994
CITIGROUP GLOBAL MARKETS INC.
March 29, 1988 - December 7, 1992
FIRST USA CAPITAL MARKETS, INC.
December 23, 1986 - February 23, 1988
J.P. MORGAN SECURITIES OF TEXAS, 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
TEXAS E&P PARTNERS, INC.
CRD#: 127228 / SEC#: , 8-65968
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
