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JE

Joan L. Elam

Some features on this profile are disabled
CRD#: 2102330
JE

Professional summary

Joan Lynea Elam was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joan is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Joan had worked at 5 firms, which includes BEL AIR SECURITIES LLC, STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS LLC, DEUTSCHE BANK SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., GOLDMAN SACHS & CO. LLC.

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

March 10, 2006 - May 25, 2007

BEL AIR SECURITIES LLC

BD
CRD#: 134953
LOS ANGELES, CA
Past

January 30, 2006 - July 31, 2006

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
LOS ANGELES, CA
Past

November 17, 2004 - November 21, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 25, 2002 - November 19, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 24, 1990 - February 6, 2001

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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: 6/19/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BA
BEL AIR SECURITIES LLC
BEL AIR SECURITIES LLC

CRD#: 134953 / SEC#: , 8-66875

BD
Terminated by SEC on 10/30/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/09/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIERA US HOLDING INC.SOLE MEMBER
DANA, DEBORAH LYNNAML OFFICER/COO2427640
HALLADAY, REED ELMOCHIEF COMPLIANCE OFFICER832677
SHUMBERG, IVANA MFINANCE AND OPERATIONS PRINCIPAL3167225

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

BEL AIR SECURITIES LLC

CRD#: 134953

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