Joan Crostic-rider
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.
Joan Crostic-rider, who also goes by Joan Louise Crostic, Joan Crostic, Joan Crostic Rider, Joan Louise Rider, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1993. Joan had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2013 - March 1, 2017
REGAL INVESTMENT ADVISORS LLC
February 18, 2009 - January 28, 2011
USAA FINANCIAL PLANNING SERVICES
June 4, 2008 - January 28, 2011
USAA FINANCIAL ADVISORS, INC.
May 4, 2007 - May 9, 2008
NEW ENGLAND SECURITIES
February 10, 2003 - November 13, 2006
CHARLES SCHWAB & CO., INC.
September 7, 1993 - November 13, 2006
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
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 8
Date: 2/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
