JL
Joseph A. Lloyd
PRINCIPAL SECURITIES
Raleigh, NC
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CRD#: 3131420
JL
Professional summary
Joseph Arthur Lloyd is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Raleigh, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
***Joseph Lloyd Inc.; Not Investment Related; Raleigh, NC; Owner; Entity exists solely for expense tracking and tax purposes.; Start Date: 03/01/2008; 10 hrs per month; 10 during trading hours.***Fixed Insurance; Investment Related; Raleigh, NC; Agent; Life, Annuities, DI, LTC, Group, Health; Start Date: 06/05/2020; 10 hrs per month; 10 during trading hours. DUNBARTON POINTE HOA POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 7500 Cadbury Ct, Apt 101, Raleigh NC 27612, United States DESCRIPTION: I am serving as a board member of my condominium's homeowner association. I do not have access to any funds nor are the HOA's investments part of the scope of my involvement. This role is volunteer only.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Arthur Lloyd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Arthur Lloyd's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 26, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Current
May 19, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Past
March 23, 2012 - May 18, 2020
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
WESTBURY, NY
Past
March 1, 2012 - May 18, 2020
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
WESTBURY, NY
Past
January 6, 2010 - February 29, 2012
PAULSON INVESTMENT COMPANY LLC
RIA
CRD#: 5670
HAUPPAUGE, NY
Past
January 4, 2010 - February 29, 2012
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
HAUPPAUGE, NY
Past
December 22, 2008 - January 13, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
HAUPPAUGE, NY
Past
December 15, 2008 - January 13, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
HAUPPAUGE, NY
Past
February 22, 2007 - December 12, 2008
CONSOLIDATED PORTFOLIO REVIEW CORP
RIA
CRD#: 112694
LOCUST VALLEY, NY
Past
February 21, 2007 - December 12, 2008
IMPACTU.INVESTMENTS, LLC
BD
CRD#: 122696
WOODBURY, NY
Past
August 15, 2003 - February 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NORWALK, CT
Past
November 6, 2002 - February 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORWALK, CT
Past
November 15, 2001 - May 23, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 20, 1998 - August 20, 2001
MANULIFE WOOD LOGAN, INC.
BD
CRD#: 19177
STAMFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(5/28/2020)
RR
Florida(6/1/2020)
RR
Michigan(8/10/2021)
RR
Minnesota(10/6/2021)
RR
Missouri(1/14/2022)
RR
New York(5/27/2020)
IAR
North Carolina(5/26/2020)
RR
North Carolina(5/29/2020)
RR
South Carolina(6/21/2021)
RR
Texas(6/15/2020)
IAR
Texas(3/8/2021)
RR
Virginia(7/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
