Joel D. Proffitt
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 David Proffitt was a registered financial advisor .
Joel is a previously registered financial advisor and started their career in finance in 1988. Joel had worked at 9 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2009 - November 5, 2009
MORRIS GROUP, INC.
March 7, 2005 - February 2, 2007
FIFTH THIRD SECURITIES, INC.
February 8, 2005 - March 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.
December 30, 1998 - January 6, 2005
A. G. EDWARDS & SONS, INC.
May 29, 1998 - January 6, 2005
A. G. EDWARDS & SONS, INC.
September 29, 1997 - May 28, 1998
RICHARD B. VANCE & COMPANY
May 31, 1995 - October 3, 1997
ROBERT W. BAIRD & CO. INCORPORATED
April 29, 1993 - June 8, 1995
FIRST NATIONAL INVESTMENTS, INC.
November 21, 1989 - March 16, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
May 25, 1988 - December 31, 1989
EQUITY SERVICES, 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
MORRIS GROUP, INC.
CRD#: 13181 / SEC#: , 8-28916
Contact information
FINRA licenses (2 States and Territories)
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.
