Joyce M. Mungenast
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.
Joyce Marie Mungenast, who also goes by Joyce Marie Kowallek, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 2000. Joyce had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2008 - September 21, 2022
LOCKTON INVESTMENT SECURITIES, LLC
August 16, 2007 - September 21, 2022
LOCKTON INVESTMENT ADVISORS, LLC
December 13, 2005 - July 2, 2008
OSAIC SERVICES, INC.
October 8, 2004 - December 14, 2005
PRINCIPAL SECURITIES, INC.
October 21, 2002 - December 3, 2002
EMPOWER FINANCIAL SERVICES, INC.
February 21, 2000 - October 21, 2002
ONE ORCHARD EQUITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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