Joyce L. Reding
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.
Joyce Lynn Reding, who also goes by Joyce Rokos, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1996. Joyce had worked at 11 firms and has passed the Series 63, Series 65, Series 99TO, 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 29, 2023 - April 17, 2023
PURSHE KAPLAN STERLING INVESTMENTS
February 28, 2022 - April 22, 2022
CETERA WEALTH SERVICES, LLC
May 21, 2021 - December 10, 2021
M HOLDINGS SECURITIES, INC.
November 14, 2013 - November 23, 2020
BOENNING & SCATTERGOOD, INC.
December 8, 2011 - March 5, 2012
UBS FINANCIAL SERVICES INC.
November 28, 2011 - March 5, 2012
UBS FINANCIAL SERVICES INC.
February 4, 2009 - November 2, 2010
M&T SECURITIES, INC.
February 4, 2009 - November 2, 2010
M&T SECURITIES, INC.
February 23, 2006 - January 7, 2009
CITIGROUP GLOBAL MARKETS INC.
February 23, 2006 - January 7, 2009
CITIGROUP GLOBAL MARKETS INC.
July 12, 2000 - February 6, 2006
MORGAN STANLEY DW INC.
May 12, 2000 - February 6, 2006
MORGAN STANLEY DW INC.
February 10, 1999 - April 28, 2000
DB ALEX. BROWN LLC
August 20, 1996 - June 19, 1998
IDS LIFE INSURANCE COMPANY
August 20, 1996 - June 19, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 12/9/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
