Joel R. Champion
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 Ryan Champion, who also goes by Ryan Champion, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2006. Joel had worked at 5 firms and has passed the Series 66, 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
June 17, 2013 - October 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 11, 2013 - October 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 31, 2012 - June 10, 2013
CAROLINA FINANCIAL SERVICES GROUP, INC.
May 25, 2012 - August 20, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
January 24, 2007 - May 31, 2012
OSAIC WEALTH, INC.
January 22, 2007 - May 31, 2012
OSAIC WEALTH, INC.
April 14, 2006 - January 17, 2007
UBS FINANCIAL SERVICES INC.
March 9, 2006 - January 17, 2007
UBS FINANCIAL 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
