Joseph O. Luby
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 Owen Luby III, who also goes by Joe O Luby III, Trey Luby III, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 5 firms and has passed the Series 66, Series 7, Series 6 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
April 8, 2010 - December 31, 2011
JAGEN INVESTMENTS, LLC
February 19, 2004 - December 31, 2013
FINANCIAL SOLUTIONS INC.
October 25, 2002 - September 24, 2008
LPL FINANCIAL LLC
October 24, 2002 - September 24, 2008
LPL FINANCIAL LLC
September 17, 1998 - October 24, 2002
EDWARD JONES
October 1, 1997 - August 11, 1998
INVESTORS CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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.
