Joshua A. Feldman
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.
Joshua Aaron Feldman was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2004. Joshua had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2011 - May 9, 2013
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
October 23, 2009 - November 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - June 26, 2007
CITIGROUP GLOBAL MARKETS INC.
November 22, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 3, 2004 - August 16, 2004
BELLE HAVEN INVESTMENTS, L.P.
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
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD#: 13594 / SEC#: , 8-29504
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEMPLETON WORLDWIDE, INC. | SHARE HOLDER | |
| CIEPRISZ, KENNETH DAVID | CHIEF COMPLIANCE OFFICER | 2303713 |
| DEAKYNE, WILLIAM SCOTT JR. | SENIOR VICE PRESIDENT AND DIRECTOR | 1861589 |
| GRAY, STEVEN JOEL | ASSISTANT SECRETARY | 849484 |
| MASOM, JEFFREY SCOTT | PRESIDENT AND DIRECTOR | 2870966 |
| PATERSON, DAVID | CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL | 7001546 |
| PLAFKER, JED ANDREW | DIRECTOR | 2793695 |
| ROSAS, VIRGINIA E | ASSISTANT SECRETARY | 5346920 |
| SHANEYFELT, GWEN LOUISE | TREASURER | 2668221 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
