Joey L. Stone
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.
Joey Lee Stone, who also goes by Joe Lee Stone, was a registered financial professional .
Joey is a previously registered financial professional and started their career in finance in 1993. Joey had worked at 4 firms and has passed the Series 65, 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
March 4, 2011 - August 11, 2017
NORTHWEST ASSET MANAGEMENT
February 25, 2011 - April 6, 2017
PURSHE KAPLAN STERLING INVESTMENTS
February 2, 2007 - February 28, 2011
D.A. DAVIDSON & CO.
February 2, 2007 - February 28, 2011
D.A. DAVIDSON & CO.
December 7, 1993 - February 14, 2007
CITIGROUP GLOBAL MARKETS INC.
September 8, 1993 - February 14, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
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.
