Rene X. Joliot
Professional summary
Rene Xavier Joliot was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rene Xavier Joliot was a registered financial advisor .
Rene is a previously registered financial advisor and started their career in finance in 1997. Rene had worked at 6 firms and has passed the Series 66, Series 3, Series 7 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
September 17, 2010 - April 4, 2014
BARCLAYS CAPITAL INC.
September 17, 2010 - April 4, 2014
BARCLAYS CAPITAL INC.
January 1, 2010 - September 1, 2010
UBS FINANCIAL SERVICES INC.
January 1, 2010 - September 1, 2010
UBS FINANCIAL SERVICES INC.
January 8, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
December 19, 2006 - January 1, 2010
UBS INTERNATIONAL INC.
March 13, 2000 - December 15, 2006
SAFRA SECURITIES LLC
August 7, 1998 - January 29, 1999
SINGER & FRIEDLANDER SECURITIES INC.
January 16, 1997 - November 7, 1997
AGF BRASEG SECURITIES 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
Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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