Lovell B. Northern
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.
Lovell Braxton Northern III, who also goes by Brad Northern, Lovell Braxton Northernt, was a registered financial professional .
Lovell is a previously registered financial professional and started their career in finance in 1984. Lovell had worked at 3 firms and has passed the 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
March 26, 1993 - July 13, 1993
JOSEPH CHARLES & ASSOC., INC.
January 17, 1990 - March 23, 1992
MORGAN STANLEY DW INC.
November 14, 1984 - November 19, 1985
PRUDENTIAL EQUITY GROUP, 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: 7/24/1972
Registered Representative ExaminationCurrent Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
