Joseph Lehrer
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 Lehrer, who also goes by Joseph Julius Lehrer, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
November 28, 2023 - December 23, 2024
STANCORP EQUITIES, INC.
January 29, 2019 - November 1, 2023
TD PRIVATE CLIENT WEALTH LLC
July 27, 2016 - July 20, 2017
TD PRIVATE CLIENT WEALTH LLC
July 15, 2016 - July 20, 2017
TD PRIVATE CLIENT WEALTH LLC
September 25, 2014 - June 10, 2016
LPL FINANCIAL LLC
September 24, 2014 - June 10, 2016
LPL FINANCIAL LLC
April 16, 2013 - July 1, 2014
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - July 1, 2014
TD PRIVATE CLIENT WEALTH LLC
November 7, 2011 - January 31, 2013
LPL FINANCIAL LLC
October 11, 2011 - January 31, 2013
LPL FINANCIAL LLC
September 24, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 3, 2006 - March 16, 2010
CUNA BROKERAGE SERVICES, INC.
June 30, 2006 - March 16, 2010
CUNA BROKERAGE SERVICES, INC.
January 22, 2003 - February 8, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 5, 1999 - February 8, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
Current Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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