Joel T. Locker
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.
Joel Timothy Locker, CFA was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1998. Joel had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2006 - December 22, 2017
FBN SECURITIES, INC.
November 4, 2004 - July 20, 2006
CARLIN EQUITIES, LLC
July 9, 2003 - October 28, 2004
THE BENCHMARK COMPANY, LLC
October 11, 2001 - November 14, 2001
FIRST NEW YORK SECURITIES L.L.C.
April 23, 2001 - October 11, 2001
SPENCER CLARKE LLC
January 5, 1999 - April 26, 2001
NATIONAL FINANCIAL SERVICES LLC
June 1, 1998 - August 11, 1998
TD AMERITRADE, INC.
February 4, 1998 - June 1, 1998
JACK WHITE & COMPANY, 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 55
Date: 1/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
FBN SECURITIES, INC.
CRD#: 18315 / SEC#: , 8-30461
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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