Joey A. Proffitt
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.
Joey Allen Proffitt was a registered financial professional .
Joey is a previously registered financial professional and started their career in finance in 2003. Joey had worked at 9 firms and has passed the Series 66, Series 63 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 24, 2013 - November 8, 2013
QUEST CAPITAL STRATEGIES, INC.
June 26, 2012 - December 31, 2012
INSTITUTE FOR WEALTH ADVISORS, INC.
July 7, 2011 - March 2, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
July 5, 2011 - March 2, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
January 21, 2011 - July 14, 2011
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
January 7, 2011 - July 14, 2011
J.P. TURNER & COMPANY, L.L.C.
September 22, 2010 - December 20, 2010
VALIC FINANCIAL ADVISORS, INC.
March 22, 2010 - December 20, 2010
VALIC FINANCIAL ADVISORS, INC.
August 12, 2009 - March 24, 2010
CENTER STREET SECURITIES, INC.
September 6, 2006 - June 2, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
October 8, 2003 - August 24, 2006
EDWARD JONES
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
