Joyce M. Sprick
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 Mary Sprick, who also goes by Joyce Mary Aimone, Joyce Mary Leidenfrost, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1997. Joyce had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2016 - July 19, 2016
FORESTERS EQUITY SERVICES, INC.
February 25, 2015 - November 12, 2015
LPL FINANCIAL LLC
September 4, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
September 4, 2001 - February 28, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 28, 1999 - July 3, 2000
ICBA FINANCIAL SERVICES CORPORATION
September 18, 1997 - June 8, 1999
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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