Joyce Schaer
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.
Joyce Schaer, who also goes by Joyce Ann Schaer, Joyce Ann Schaer-spamer, Joyce Schaer Spamer, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 2007. Joyce had worked at 5 firms and has passed the Series 63, Series 7TO, 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
July 25, 2021 - December 4, 2023
COMPASS SECURITIES CORPORATION
March 2, 2021 - June 23, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 5, 2017 - December 14, 2020
OAKVIEW CAPITAL MANAGEMENT, L.P.
January 4, 2010 - August 17, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
November 9, 2007 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
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 7TO
Date: 3/2/2021
General Securities Representative ExaminationCurrent Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 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.
