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JB

Joanne E. Blain

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CRD#: 1703215
JB

Professional summary

Joanne Elizabeth Blain was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joanne is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Joanne had worked at 11 firms, which includes BARRON MOORE INC., CARDINAL CAPITAL MANAGEMENT INC., PLATINUM INVESTMENT CORP., EMERSON BENNETT & ASSOCIATES, J.P. TURNER & COMPANY L.L.C., AMERICAN GENERAL SECURITIES INCORPORATED, MERIT CAPITAL ASSOCIATES INC., THE HAMILTON-SHEA GROUP INC., BILTMORE SECURITIES INC., FIRST EAGLE INC., MORGAN GLADSTONE & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 24, 2004 - November 29, 2004

BARRON MOORE, INC.

BD
CRD#: 123521
DALLAS, TX
Past

March 5, 2003 - April 28, 2003

CARDINAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 24605
MIAMI, FL
Past

July 8, 2002 - January 27, 2003

PLATINUM INVESTMENT CORP.

BD
CRD#: 107211
ROCHESTER, NY
Past

January 6, 2000 - September 25, 2001

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

April 10, 1999 - December 14, 1999

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

August 19, 1998 - March 22, 1999

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

February 24, 1997 - February 2, 1998

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

January 9, 1997 - March 13, 1997

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL
Past

December 7, 1990 - January 14, 1997

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL
Past

September 16, 1987 - September 4, 1990

FIRST EAGLE, INC.

BD
CRD#: 16509
Past

July 31, 1987 - September 30, 1987

MORGAN GLADSTONE & CO. INC.

BD
CRD#: 17062

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/1991
General Securities Principal Examination

Current Firm

BM
BARRON MOORE, INC.
BARRON MOORE, INC. | GREAT SOUTHWEST CAPITAL, L.P. | GREAT SOUTHWEST CAPITAL, INC.

CRD#: 123521 / SEC#: , 8-65589

BD
Terminated by SEC on 11/25/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/30/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BARRON MOORE HOLDINGS, INC.OWNER/HOLDING COMPANY
MOORE, KATHERINE ANNPRESIDENT, CEO & CFO1342145

Disclosures

Regulatory Event3

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.

Company Information

BARRON MOORE, INC.

CRD#: 123521

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