Joel L. Waxman
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 Lee Waxman was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2003. Joel had worked at 3 firms and has passed the Series 63, 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
May 19, 2015 - December 26, 2015
FOCUS STRATEGIES MERCHANT BANKING, LLC
October 10, 2005 - October 14, 2014
IMPERIAL CAPITAL, LLC
November 13, 2003 - September 21, 2005
TEJAS SECURITIES GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FOCUS STRATEGIES MERCHANT BANKING, LLC
CRD#: 172021 / SEC#: , 8-69495
Contact information
FINRA licenses (5 States and Territories)
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.
