Joseph L. Jacoby
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 Louis Jacoby was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 11 firms and has passed the Series 63 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
February 1, 2002 - May 31, 2011
LEGEND SECURITIES, INC.
July 11, 2001 - February 25, 2002
STONE HARBOR FINANCIAL SERVICES, LLC
December 12, 2000 - June 11, 2001
CANTONE RESEARCH INC.
May 8, 2000 - December 7, 2000
PREFERRED SECURITIES GROUP, INC.
December 22, 1999 - May 5, 2000
COLEMAN & COMPANY SECURITIES, INC.
May 25, 1999 - December 7, 1999
HORNBLOWER & WEEKS, INC.
January 9, 1998 - March 19, 1999
HD BROUS & CO., INC.
September 17, 1997 - December 24, 1997
MORGAN GRANT CAPITAL CORP.
August 12, 1997 - September 16, 1997
J.P. TURNER & COMPANY, L.L.C.
February 4, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
September 25, 1995 - August 9, 1996
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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