Joel C. Heusler
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 Carl Heusler, who also goes by Maxim Heusler, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1992. Joel had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1997 - March 25, 2015
BISHOP, ROSEN & CO., INC.
August 5, 1993 - June 20, 1997
INVESTORS ASSOCIATES, INC.
February 21, 1992 - September 9, 1993
MELBOURNE GSI CORP.
February 6, 1992 - February 25, 1992
CHATFIELD DEAN & CO., 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
Current Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 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.
