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JR

Joseph S. Reece

COMMERCE BROKERAGE SERVICES
Kansas City, MO 64106
Some features on this profile are disabled
CRD#: 2227282
JR

Professional summary

Joseph Steven Reece is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in Kansas City, Missouri and L.J. HART AND COMPANY located in Kansas City, Missouri.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 26 exams.

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) - BD

Click below to view Joseph Steven Reece's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 15, 2009 - Present

COMMERCE BROKERAGE SERVICES, INC.

Office #1: 1000 Walnut 3rd Floor, Kansas City, MO 64106
BD
CRD#: 17140
Kansas City, MO
Current

June 14, 2023 - Present

L.J. HART AND COMPANY

Office #1: 1000 Walnut Street Third Floor, Kansas City, MO 64106
BD
CRD#: 28867
Kansas City, MO
Past

January 22, 2007 - December 11, 2008

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

January 22, 2007 - December 11, 2008

AMERICAN CENTURY BROKERAGE, INC.

BD
CRD#: 42846
KANSAS CITY, MO
Past

March 17, 2000 - January 10, 2007

COMMERCE BROKERAGE SERVICES, INC.

BD
CRD#: 17140
KANSAS CITY, MO
Past

November 3, 1992 - December 31, 1993

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
Past

April 10, 1992 - August 20, 1992

MARQUETTE FINANCIAL GROUP, INC.

BD
CRD#: 345

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(6/22/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 6/14/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/25/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/10/2006
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LH
L.J. HART AND COMPANY
L.J. HART AND COMPANY

CRD#: 28867 / SEC#: , 8-43976

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Forsyth Blvd, St. Louis, MO 63105
Mailing Address
8000 Forsyth Blvd Clhart, St. Louis, MO 63105
Phone number
(636) 537-9939
Established
Missouri since 11/12/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMERCE BANKSOLE STOCKHOLDER
HARMON, THOMAS DARINCHAIRMAN7787415
PISARKIEWICZ, THOMAS JOHNPRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER5173363
REECE, JOSEPH STEVENVICE PRESIDENT/CHIEF COMPLIANCE OFFICER2227282
ROWE, MARGARET MCSHANECORPORATE SECRETARY / GENERAL COUNSEL7576973
SWANSON, ERIK ANDREWEXECUTIVE VICE PRESIDENT4170204

Disclosures

Regulatory Event4

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

L.J. HART AND COMPANY

CRD#: 28867Kansas City, MO 64106

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