Thomas M. 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.
Thomas Michael Joyce SR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 7 firms and has passed the Series 63, PC, Series 000, Series 1 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
November 15, 1991 - October 30, 2003
VANGUARD CAPITAL
March 2, 1990 - September 23, 1991
LEGG MASON WOOD WALKER, INCORPORATED
May 8, 1989 - February 27, 1990
U.S. SECURITIES, INC.
August 4, 1986 - December 21, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
October 5, 1982 - July 28, 1986
ADVEST, INC.
September 26, 1978 - October 20, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 1970 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 3/1/1983
AMEX Put and Call ExamSeries 000
Date: 4/10/1964
General Securities Principal ExaminationSeries 1
Date: 4/10/1964
Registered Representative ExaminationCurrent Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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