Bernard 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.
Bernard Joseph Joyce was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1989. Bernard had worked at 3 firms and has passed the Series 63, 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
March 27, 1991 - December 7, 2012
ACAP FINANCIAL INC.
July 16, 1990 - July 1, 1991
ALLIANCE SECURITIES CORPORATION
February 7, 1990 - June 20, 1990
WILLIAM BARTON FINANCIAL, INC.
October 25, 1989 - March 8, 1990
ALLIANCE SECURITIES CORPORATION
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
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
