Joseph A. Prior
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.
Joseph A Prior JR, who also goes by Joseph A Prior, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 4 firms and has passed the Series 63, SIE, Series 55, 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
January 18, 2000 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
January 6, 2000 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
January 6, 2000 - May 12, 2015
D.E. SHAW SECURITIES, L.L.C.
September 3, 1999 - December 15, 1999
MORGAN STANLEY & CO. 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 55
Date: 1/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
D. E. SHAW VALENCE, L.L.C.
CRD#: 31995 / SEC#: , 8-45594
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW VALENCE PORTFOLIOS, L.L.C. | MEMBER | |
| D. E. SHAW & CO., L.P. | MANAGING MEMBER | |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2078654 |
| ELIAS, ROCHELLE ASSAEL | CHIEF COMPLIANCE OFFICER | 724288 |
| GAUDIO, JULIUS RALPH | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2406744 |
| LIFTIN, JOHN MATTHEW | GENERAL COUNSEL OF D. E. SHAW & CO., L.P. | 1447945 |
| SALKIND, LOUIS KEN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 1926517 |
| SHAW, DAVID ELLIOT | CHAIRMAN, PRESIDENT & SOLE SHAREHOLDER OF D. E. SHAW & CO., INC. | 1557735 |
| STECKLER, STUART | CFO; MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2022720 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2246217 |
| WEPSIC, ERIC KARL | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2489161 |
Red Flags
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