Joseph H. Vandyke
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 Holbrooke Vandyke, who also goes by Joseph Holbrook Vandyke, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1966. Joseph had worked at 7 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 1996 - July 17, 2002
MORGAN STANLEY DW INC.
March 28, 1996 - July 17, 2002
MORGAN STANLEY DW INC.
February 7, 1995 - March 14, 1996
COLEMAN & COMPANY SECURITIES, INC.
February 19, 1974 - December 14, 1994
MORGAN STANLEY DW INC.
November 29, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - December 5, 1973
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
March 7, 1973 - November 17, 1973
RAYMOND JAMES & ASSOCIATES, INC.
February 22, 1971 - April 5, 1973
THOMSON MCKINNON SECURITIES INC.
September 22, 1966 - April 30, 1971
GOODBODY & CO. INCORPORATED
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 15
Date: 10/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/28/1981
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 3/28/1960
Registered Representative ExaminationSeries 00
Date: 9/13/1966
General Securities Principal ExaminationSeries 12
Date: 2/8/1966
NYSE Branch Manager ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
