Joseph R. Busque
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 Richard Busque, who also goes by J R Busque, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 20 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - October 1, 2014
LINCOLN INVESTMENT
August 2, 2010 - October 1, 2014
LINCOLN INVESTMENT
December 21, 2009 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
December 21, 2009 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 6, 2006 - December 31, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 27, 2006 - December 31, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 9, 2004 - December 9, 2004
OSAIC FS, INC.
March 31, 2004 - December 9, 2004
OSAIC FS, INC.
March 13, 2002 - August 12, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 19, 2002 - August 12, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 8, 2000 - January 4, 2002
OSAIC FS, INC.
June 15, 1998 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
June 29, 1994 - March 30, 1995
WALNUT STREET SECURITIES, INC.
January 1, 1994 - May 23, 1994
WALNUT STREET SECURITIES, INC.
June 24, 1992 - April 22, 1998
LEGEND MERCHANT GROUP, INC.
March 28, 1991 - June 24, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 28, 1991 - June 24, 1992
PRUCO SECURITIES, LLC.
August 7, 1989 - March 4, 1991
LEHMAN BROTHERS INC.
March 3, 1989 - August 12, 1989
VANDERBILT SECURITIES, INC.
January 18, 1989 - March 10, 1989
INVESTORS CENTER, INC.
May 1, 1987 - January 10, 1989
BLINDER, ROBINSON & CO., INC.
July 7, 1986 - May 5, 1987
NORTH AMERICAN INVESTMENT CORP.
November 2, 1984 - August 18, 1986
JASON MACKENZIE SECURITIES, INC.
May 27, 1983 - December 5, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 4, 1983 - November 14, 1983
TOWER SQUARE SECURITIES, INC.
August 3, 1982 - August 8, 1991
FORESTERS FINANCIAL SERVICES, INC.
September 20, 1978 - March 27, 1981
TOWER SQUARE SECURITIES, INC.
October 2, 1973 - August 22, 1977
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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
PC
Date: 3/28/1990
AMEX Put and Call ExamSeries 1
Date: 9/27/1973
Registered Representative ExaminationCurrent Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
