Joe L. Buckner
Professional summary
Joe L Buckner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joe is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Joe had worked at 5 firms, which includes BRAZOS SECURITIES INC., MIAI INC., MAPLEWOOD INVESTMENTS INC., PACIFIC CORTEZ SECURITIES INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2008 - November 9, 2015
BRAZOS SECURITIES, INC.
January 9, 2003 - September 30, 2003
MIAI, INC.
May 8, 2001 - December 31, 2002
MIAI, INC.
May 8, 2001 - July 25, 2003
MAPLEWOOD INVESTMENTS, INC.
October 22, 1996 - May 7, 2015
BRAZOS SECURITIES, INC.
April 22, 1994 - October 14, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
January 1, 1992 - March 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
BRAZOS SECURITIES, INC.
CRD#: 21624 / SEC#: , 8-39119
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMS, BILLY FLOYD JR | PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL | 1548924 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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