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JJ

Joseph D. Jolly

JOE JOLLY & CO.
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 260800
JJ

Professional summary

Joseph Deyerle Jolly JR, who also goes by Joe D Jolly, is a registered financial professional currently at JOE JOLLY & CO., INC. located in Birmingham, Alabama.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1959. Joseph has worked at 2 firms and has passed the Series 50, Series 1 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe D Jolly

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 Deyerle Jolly JR'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

May 24, 1976 - Present

JOE JOLLY & CO., INC.

Office #1: 420 No 20th St., Suite 2350, Birmingham, AL 35203
BD
CRD#: 7170
Birmingham, AL
Past

November 19, 1959 - January 24, 1971

HUGO MARX & COMPANY

BD
CRD#: 1000001

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
Alabama
(1/1/1991)

Exams

General Industry/Product Exam
RR
Series 50
Date: 5/15/2018
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 1
Date: 11/19/1959
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/2/2023
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JJ
JOE JOLLY & CO., INC.
JOE JOLLY & CO., INC.

CRD#: 7170 / SEC#: , 8-18805

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
420 North 20th Street,suite 2350, Birmingham, AL 35203
Mailing Address
P.o. Box 8, Birmingham, AL 35201-0008
Phone number
(205) 252-2105
Established
Delaware since 10/19/1971
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (1 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#
JOLLY, JOSEPH DEYERLE JRPRESIDENT/PRINCIPAL/CHIEF COMPLIANCE OFFICER260800
JJCOMPANY LLCSHAREHOLDER
CLEM, JANICE LANDRUMCORP. SECY.
GOODIN, DIANE MARIEFINOP/CHIEF FINANCIAL OFFICER3117840
PARKER, MATTHEW STANLEYVICE PRESIDENT2830791

Disclosures

Regulatory Event8

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

JOE JOLLY & CO., INC.

CRD#: 7170Birmingham, AL 35203

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