Joy L. Choate
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.
Joy Lynn Choate, who also goes by Joy L Choate, Joy L. Choate, Joy Hunt, Joy L. Worrell, was a registered financial professional .
Joy is a previously registered financial professional and started their career in finance in 2000. Joy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 7, 2014 - July 14, 2017
WADDELL & REED
November 7, 2014 - July 14, 2017
WADDELL & REED
December 22, 2011 - November 13, 2014
MSI FINANCIAL SERVICES, INC.
December 13, 2011 - November 13, 2014
MSI FINANCIAL SERVICES, INC.
November 1, 2011 - December 6, 2011
LPL FINANCIAL LLC
May 31, 2011 - December 6, 2011
LPL FINANCIAL LLC
April 26, 2010 - April 25, 2011
CHARLES SCHWAB & CO., INC.
November 14, 2005 - February 26, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
February 10, 2003 - December 19, 2003
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 29, 2000 - October 31, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
