Joel K. Greenberg
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.
Joel Kenneth Greenberg, who also goes by Joel Greenberg, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2000. Joel had worked at 7 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2005 - April 12, 2006
RIVER SECURITIES, LLC
January 29, 2004 - December 5, 2007
SIG SPECIALISTS, INC.
November 18, 2003 - January 3, 2019
SUSQUEHANNA SECURITIES, LLC
October 23, 2003 - November 19, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
October 23, 2003 - June 12, 2009
SUSQUEHANNA INVESTMENT GROUP
April 15, 2002 - February 29, 2008
SIG INDEX SPECIALISTS, LLC
June 30, 2000 - July 18, 2013
SIG BROKERAGE, LP
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
RIVER SECURITIES, LLC
CRD#: 134152 / SEC#: , 8-66814
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIG SPECIALISTS HOLDINGS INC. | SHAREHOLDER | |
| TREGLIA, FRANCIS JOSEPH | CHIEF COMPLIANCE OFFICER, FNOP | 1292875 |
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.
