James E. Joyce
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.
James Edward Joyce Jr, who also goes by James Edward Joyce Jr, James Edward Joyce, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 1 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
March 11, 2019 - September 24, 2019
COMPASS SECURITIES CORPORATION
September 12, 2018 - September 24, 2019
COMPASS CAPITAL CORPORATION
February 11, 2010 - December 31, 2016
LPL FINANCIAL LLC
January 15, 2010 - December 31, 2016
LPL FINANCIAL LLC
January 1, 2008 - January 25, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 25, 2010
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 3, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 1, 2002 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 3, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 1, 1996 - September 15, 1999
UBS FINANCIAL SERVICES INC.
March 16, 1994 - July 19, 1996
A. G. EDWARDS & SONS, INC.
July 31, 1993 - March 24, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
January 10, 1985 - May 14, 1985
BOSTON BAY CAPITAL, INC.
July 17, 1979 - February 11, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1978 - March 28, 1979
PERSONAL CAPITAL PLANNING GROUP, INC.
October 30, 1970 - August 5, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 10/23/1970
Registered Representative ExaminationSeries 8
Date: 8/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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