Joseph Tovey
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.
Joseph Tovey was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 4 firms and has passed the Series 1, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 1978 - September 26, 1988
TOVEY & CO. INC.
February 17, 1976 - April 4, 1977
SHIELDS MODEL ROLAND INCORPORATED
February 25, 1974 - March 5, 1976
FAULKNER, DAWKINS & SULLIVAN INC.
February 10, 1970 - April 16, 1974
ROTH, GERARD & CO.
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
Series 1
Date: 8/29/1969
Registered Representative ExaminationSeries 40
Date: 3/3/1978
Registered Principal ExaminationF04
Date: 2/27/1978
Financial Principal ExaminationCurrent Firm
TOVEY & CO. INC.
CRD#: 7719 / SEC#: , 8-22211
Contact information
Documents
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.
