Joseph R. Muglia
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 Robert Muglia was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 6 firms and has passed the Series 15, Series 5, Series 1, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2001 - September 7, 2007
WESTBOURNE INVESTMENTS, INC.
April 27, 1998 - March 9, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
June 27, 1988 - September 5, 1997
UBS FINANCIAL SERVICES INC.
March 25, 1982 - June 22, 1988
LEHMAN BROTHERS INC.
September 12, 1978 - March 26, 1982
UBS FINANCIAL SERVICES INC.
February 14, 1972 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 25, 1970 - February 29, 1972
F I DUPONT GLORE FORGAN & CO
Primary Firm SEC Registration
WESTBOURNE INVESTMENTS, INC.
CRD#: 37499 / SEC#: 801-36800, 8-47779
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 15
Date: 4/8/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 1
Date: 7/28/1967
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 40
Date: 3/16/1970
Registered Principal ExaminationCurrent Firm
WESTBOURNE INVESTMENTS, INC.
CRD#: 37499 / SEC#: 801-36800, 8-47779
Contact information
SEC notice filing (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTBOURNE ASSOCIATES, INC. | CORPORATION | |
| GOODWYN, WILFRED LACY | CHAIRMAN & CEO & CHIEF COMPLIANCE OFFICER | 225538 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 221,087,393 |
Disclosures
| Regulatory Event | 1 |
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.
