Joel F. Schlosberg
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.
Joel Frederick Schlosberg was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1973. Joel had worked at 18 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1994 - December 7, 1994
ROYAL PALM INVESTMENTS, LTD.
May 3, 1994 - May 16, 1994
SSI SECURITIES CORP.
April 25, 1988 - December 23, 1988
U.S. ASSOCIATES OF FLORIDA, INC.
October 15, 1987 - February 13, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 6, 1987 - September 23, 1987
WESTCAP SECURITIES, L.P.
October 20, 1986 - June 19, 1987
TMA GOVERNMENT SECURITIES, LTD.
September 17, 1984 - October 26, 1984
MUNICIPAL SECURITIES, INCORPORATED
August 16, 1984 - September 6, 1984
FIRST INVESTMENT SECURITIES, INC.
October 14, 1983 - November 17, 1983
SOUTHSTATE SECURITIES CORP.
May 26, 1981 - August 23, 1983
UMIC, INC.
August 8, 1979 - June 1, 1981
WACHOVIA SECURITIES, INC.
May 7, 1979 - August 10, 1979
SWANTON SECURITIES, INC.
March 9, 1979 - April 3, 1979
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
January 26, 1979 - March 2, 1979
NEWHARD, COOK & CO. INCORPORATED
July 13, 1978 - November 29, 1983
J. F. SCHLOSBERG & CO., INC.
May 23, 1977 - June 22, 1978
LEGEL, BRASWELL SECURITIES CORP.
February 2, 1977 - June 10, 1977
CARTY, HARDING & HEARN, INC.
August 26, 1975 - February 22, 1977
MORGAN KEEGAN & COMPANY, LLC
January 4, 1973 - August 19, 1975
UMIC, 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 1
Date: 12/27/1972
Registered Representative ExaminationSeries 00
Date: 11/8/1974
General Securities Principal ExaminationCurrent Firm
ROYAL PALM INVESTMENTS, LTD.
CRD#: 28761 / SEC#: , 8-43951
Contact information
Documents
Red Flags
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