John J. Joyce
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.
John James Joyce was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 11 firms and has passed the Series 63, SIE, Series 3, 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
January 17, 2018 - February 8, 2019
NOBLE CAPITAL MARKETS, INC.
August 28, 2012 - August 31, 2017
SWEDBANK SECURITIES US, LLC
August 18, 2011 - June 26, 2012
CLARKSONS SECURITIES, INC
May 5, 2009 - March 31, 2011
BGC FINANCIAL, L.P.
November 13, 2008 - May 11, 2009
PRITCHARD CAPITAL PARTNERS, LLC
March 19, 2007 - October 21, 2008
ICE BONDS SECURITIES CORPORATION
July 5, 2005 - June 1, 2006
GFI SECURITIES LLC
May 14, 2004 - July 5, 2005
SANFORD C. BERNSTEIN & CO., LLC
July 1, 2003 - May 3, 2004
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 22, 2000 - March 18, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - August 1, 2000
ICAP SECURITIES USA LLC
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 55
Date: 9/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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