Joel Rickner
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 Rickner, who also goes by Joel T. Rickner, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2002. Joel had worked at 8 firms and has passed the Series 63, Series 66, SIE 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
April 15, 2019 - December 2, 2019
INTERNATIONAL ASSETS ADVISORY, LLC
November 14, 2016 - January 31, 2017
PRINCIPAL SECURITIES, INC.
October 23, 2013 - July 6, 2015
COREBRIDGE CAPITAL SERVICES, INC.
March 27, 2012 - August 16, 2013
TEXAS SECURITIES, INC.
October 6, 2009 - October 14, 2010
THE LEADERS GROUP, INC.
November 21, 2007 - February 10, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 9, 2004 - October 10, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
August 1, 2002 - September 25, 2002
UBS FINANCIAL SERVICES INC.
July 22, 2002 - September 25, 2002
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
