Joan L. King
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.
Joan Linda King, who also goes by Joan Linda Dicostanzo, Joan Linda Penna, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1986. Joan had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2014 - June 30, 2015
KESTRA INVESTMENT SERVICES, LLC
August 25, 2011 - October 21, 2013
ASSOCIATED BOND BROKERS, INC.
January 20, 1997 - October 14, 2010
HARTFIELD, TITUS & DONNELLY, LLC
October 18, 1993 - August 8, 1995
SMITH MITCHELL INVESTMENT GROUP INC.
January 9, 1987 - December 19, 1996
R.W. SMITH & ASSOCIATES, LLC
July 11, 1986 - January 1, 1987
G.I.M.B. MUNICIPAL SECURITIES BROKER
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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