Joseph A. Lavigne
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.
Joseph Alan Lavigne, who also goes by Joseph Alan L, Joe Lavigne, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 5 firms and has passed the Series 65, Series 63, 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
August 5, 2013 - January 24, 2018
SPENCER EDWARDS, INC.
October 24, 2002 - August 6, 2013
GVC CAPITAL LLC
November 2, 2000 - September 30, 2002
SCHNEIDER SECURITIES, INC.
January 25, 1991 - November 2, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
August 7, 1989 - February 4, 1991
RCL NORTHWEST, 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 55
Date: 6/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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