Joan B. Lappin
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.
Joan Berger Lappin, who also goes by Joan Ellen Berger, Joan Ellen Lappin, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1985. Joan had worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - December 31, 2022
GRAMERCY CAPITAL MANAGEMENT
October 25, 1985 - June 18, 1986
NATIXIS SECURITIES AMERICAS 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 1
Date: 6/2/1967
Registered Representative ExaminationCurrent Firm
GRAMERCY CAPITAL MANAGEMENT
CRD#: 120324 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 6,252,681 |
Red Flags
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