Joe E. Poe
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 Edward Poe JR, who also goes by Joe Edward Jr Poe, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1987. Joe had worked at 16 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - February 4, 2015
ACAP FINANCIAL INC.
October 12, 2007 - February 27, 2008
VFINANCE INVESTMENTS, INC
September 12, 2005 - February 27, 2008
EQUITY STATION, INC.
August 31, 2005 - September 12, 2005
VFINANCE INVESTMENTS, INC
April 13, 2004 - August 31, 2005
CAPITAL GROWTH FINANCIAL, LLC
February 2, 2001 - April 7, 2004
J.P. TURNER & COMPANY, L.L.C.
December 23, 1999 - April 24, 2000
RICHMARK CAPITAL CORPORATION
October 14, 1999 - October 20, 1999
PREMIER CAPITAL MANAGEMENT, INC.
August 3, 1998 - February 19, 1999
M G SECURITIES GROUP, INC.
April 28, 1997 - July 14, 1998
RIVERSTONE WEALTH MANAGEMENT, INC.
June 26, 1995 - May 2, 1997
DALLAS RESEARCH & TRADING, INC.
January 3, 1995 - April 19, 1995
MUTUALS.COM, INC.
October 13, 1989 - March 30, 1993
J.P. MORGAN SECURITIES LLC
September 1, 1989 - September 16, 1989
J. T. MORAN & CO., INC.
November 17, 1988 - August 15, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.
January 4, 1988 - October 31, 1988
MORGAN STANLEY DW INC.
May 29, 1987 - December 18, 1987
BLINDER, ROBINSON & CO., 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
Series 7TO
Date: 1/31/2025
General Securities Representative ExaminationSeries 55
Date: 7/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
