Joseph F. Pickering
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 Fowler Pickering was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 13 firms and has passed the Series 63 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
July 7, 2003 - March 16, 2010
AMERICAN INVESTORS COMPANY
July 2, 1996 - July 8, 2003
LOCUST STREET SECURITIES, INC.
July 29, 1994 - May 20, 1996
AMERICAN INVESTORS COMPANY
December 3, 1993 - June 13, 1994
OGILVIE SECURITY ADVISORS CORPORATION
April 10, 1989 - September 20, 1993
AMERICAN INVESTORS COMPANY
November 3, 1988 - February 22, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 1, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 16, 1987 - April 4, 1988
JUDY & ROBINSON SECURITIES, INC
October 24, 1983 - March 27, 1991
VP DISTRIBUTORS LLC
June 2, 1980 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
December 19, 1973 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
January 29, 1973 - April 23, 1981
VERAVEST INVESTMENTS, INC.
November 29, 1971 - October 19, 1983
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
May 10, 1971 - April 10, 1987
EPIC SECURITIES COMPANY
January 30, 1968 - July 18, 1971
MUTUAL FUND ASSOCIATES INCORPORATED
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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: 1/25/1968
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
