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JS

Joseph A. Stavitzke

MARC J. LANE & COMPANY
CHICAGO, IL 60601
Some features on this profile are disabled
CRD#: 4167606
JS

Professional summary

Joseph Alan Stavitzke, who also goes by Joseph Stavitzke, Joe Stavitzke, Joseph Alan Stavitzke, is a registered financial professional currently at MARC J. LANE & COMPANY located in Chicago, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 3 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Stavitzke | Joe Stavitzke | Joseph Alan Stavitzke

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Alan Stavitzke's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 9, 2019 - Present

MARC J. LANE & COMPANY

Office #1: 200 E. Randolph Street Suite 5100, Chicago, IL 60601
BD
CRD#: 16188
CHICAGO, IL
Past

October 31, 2018 - September 9, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

May 31, 2017 - October 15, 2018

NORTHERN TRUST SECURITIES, INC.

RIA
CRD#: 7927
CHICAGO, IL
Past

May 31, 2017 - October 15, 2018

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

February 1, 2017 - May 24, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

January 5, 2017 - May 24, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

April 28, 2003 - August 15, 2006

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

March 7, 2001 - April 15, 2003

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO
Past

May 12, 2000 - December 13, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 13, 2000 - December 13, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 13, 2000 - December 13, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(9/9/2019)
RR
Indiana
(9/20/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/26/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/1/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/17/2006
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/9/2005
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MJ
MARC J. LANE & COMPANY
MARC J. LANE & COMPANY

CRD#: 16188 / SEC#: , 8-33465

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 E. Randolph Street Suite 5100, Chicago, IL 60601
Mailing Address
200 E. Randolph Street Suite 5100, Chicago, IL 60601
Phone number
(312) 372-1040
Established
Illinois since 01/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LANE, MARC JAYCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE PRINCIPAL & SHAREHOLDER1498190
GREEN, KENNETH NATHANIELVICE PRESIDENT - DIRECTOR OF INVESTMENTS, FINOP, PFO/POO, MUNICIPAL SECURITIES PRINCIPAL1749298

Disclosures

Regulatory Event1

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.

Company Information

MARC J. LANE & COMPANY

CRD#: 16188Chicago, IL 60601

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