Joel G. Soren
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 Gary Soren 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 65, Series 63, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2011 - December 31, 2016
WATTS CAPITAL PARTNERS LLC
June 14, 2011 - February 28, 2013
KARBONE CAPITAL MARKETS, LLC
February 5, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
February 5, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
November 19, 2007 - February 20, 2008
AMERICAN CAPITAL PARTNERS, LLC
February 2, 2004 - April 2, 2007
FIRST MONTAUK SECURITIES CORP.
December 5, 2003 - April 2, 2007
FIRST MONTAUK SECURITIES CORP.
July 20, 2000 - January 4, 2002
SOMERSET FINANCIAL GROUP, INC.
September 8, 1999 - June 29, 2000
KIRLIN SECURITIES INC.
July 29, 1999 - August 20, 1999
TRADERIGHT SECURITIES, INC.
July 10, 1997 - July 2, 1999
HERBERT J. SIMS & CO, INC.
December 6, 1995 - June 27, 1997
J. B. HANAUER & CO.
March 21, 1995 - December 5, 1995
BURNHAM SECURITIES INC.
September 17, 1993 - March 22, 1995
GKN SECURITIES CORP.
January 25, 1993 - June 22, 1993
SHAMROCK PARTNERS, LTD
September 16, 1991 - January 13, 1993
JANNEY MONTGOMERY SCOTT LLC
January 1, 1991 - September 17, 1991
RODMAN & RENSHAW INC.
November 30, 1978 - August 11, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 26, 1978 - December 29, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
WATTS CAPITAL PARTNERS LLC
CRD#: 149049 / SEC#: 801-78813
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
PC
Date: 11/1/1978
AMEX Put and Call ExamSeries 1
Date: 4/11/1973
Registered Representative ExaminationSeries 12
Date: 11/29/1979
NYSE Branch Manager ExaminationSeries 40
Date: 12/22/1978
Registered Principal ExaminationCurrent Firm
WATTS CAPITAL PARTNERS LLC
CRD#: 149049 / SEC#: 801-78813
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 72,938,892 |
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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