Joseph E. Laird
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.
Joseph Edward Laird III, who also goes by Joseph Edward Laird, Joseph Laird, Trey Laird III, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 3, 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
June 16, 2016 - July 14, 2016
OLIVETREE FINANCIAL, LLC
October 18, 2013 - August 6, 2015
B. RILEY SECURITIES, INC.
December 11, 2007 - October 24, 2013
FM PARTNERS HOLDINGS LLC
August 22, 2007 - October 29, 2007
JEFFERIES LLC
June 10, 2002 - August 24, 2007
PIPER SANDLER & CO.
September 1, 2000 - June 5, 2002
BEECH HILL SECURITIES, INC.
February 1, 2000 - September 8, 2000
J.P. MORGAN SECURITIES INC.
February 15, 1996 - February 1, 2000
HAMBRECHT & QUIST LLC
September 9, 1993 - February 9, 1996
DB ALEX. BROWN LLC
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: 10/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
OLIVETREE FINANCIAL, LLC
CRD#: 154026 / SEC#: , 8-68603
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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