Joel A. Nazareno
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 Albert Nazareno was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1992. Joel had worked at 5 firms and has passed the Series 63, 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
October 15, 1999 - September 7, 2001
D.L. CROMWELL INVESTMENTS, INC.
December 16, 1996 - May 7, 1999
D.L. CROMWELL INVESTMENTS, INC.
June 23, 1995 - September 13, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
February 9, 1995 - June 9, 1995
JOSEPH ROBERTS & CO., INC.
July 13, 1993 - May 15, 1995
GRUNTAL & CO., L.L.C.
July 8, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
March 30, 1992 - July 12, 1993
GRUNTAL & CO., L.L.C.
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: 11/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
