Joyce Joan Smith
Professional Summary
Joyce Joan Smith, who also goes by Stidham (maiden) Melton, was a registered financial advisor. Joyce was a previously registered financial professional and started their career in finance 1997 - 2020. Joyce had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stidham (maiden) Melton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
ARQUE CAPITAL, LTD. | QUANTUM LEAP SECURITIES, LLC
Contact Information
Main Address
5665 North Scottsdale Road Suite 130, Scottsdale, AZ 85250Phone Number
(602) 971-9000Established
California since 11/18/2005Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
4Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION WINTER SKIES, LTD. | PARENT COMPANY | — |
| KUWABARA, AUDREY MARI | CHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER | 5007219 |
| KUWABARA, AUDREY MARI | PRESIDENT & CEO (INTERIM) | 5007219 |
| NING, MICHAEL CHENG | PRESIDENT & CEO | 1229733 |
| ROACH, ROBERT GARFIELD JR | FINOP | 2731222 |
| SCANLON, TIMOTHY JOSEPH | DIRECTOR - PRIVATE CLIENT DIVISION | 1968597 |
| SULLIVAN, JAMES CHESTER | OPTIONS PRINCIPAL | 804918 |
Regulatory Assets Under Management
Total Number of Accounts
9AUM (Assets Under Management)
$6,000,000Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1997About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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