JP
Joel W. Pangborn
CAMPBELL LUTYENS & CO.
New York, NY 10111
Some features on this profile are disabled
CRD#: 5489742
JP
Professional summary
Joel Williamson Pangborn, who also goes by Joel W Pangborn, Joel Williamson Pangborn V, is a registered financial professional currently at CAMPBELL LUTYENS & CO. INC. located in New York, New York.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2008. Joel has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joel W Pangborn | Joel Williamson Pangborn V
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joel Williamson Pangborn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 31, 2023 - Present
CAMPBELL LUTYENS & CO. INC.
Office #1: 630 Fifth Ave. 36th Floor, New York, NY 10111BD
CRD#: 133376
New York, NY
Past
July 22, 2016 - May 19, 2023
BERENBERG CAPITAL MARKETS LLC
BD
CRD#: 156757
NEW YORK, NY
Past
June 16, 2015 - November 1, 2019
AVATAR CAPITAL GROUP LLC
BD
CRD#: 150136
JERSEY CITY, NJ
Past
June 1, 2011 - June 30, 2016
SEB SECURITIES, INC.
BD
CRD#: 23710
NEW YORK, NY
Past
March 7, 2008 - June 22, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/31/2023)
RR
Alaska(5/31/2023)
RR
Arizona(5/31/2023)
RR
Arkansas(5/31/2023)
RR
California(5/31/2023)
RR
Colorado(5/31/2023)
RR
Connecticut(5/31/2023)
RR
Delaware(5/31/2023)
RR
District of Columbia(5/31/2023)
RR
Florida(5/31/2023)
RR
Georgia(5/31/2023)
RR
Hawaii(5/31/2023)
RR
Idaho(5/31/2023)
RR
Illinois(5/31/2023)
RR
Indiana(5/31/2023)
RR
Iowa(5/31/2023)
RR
Kansas(5/31/2023)
RR
Kentucky(5/31/2023)
RR
Louisiana(5/31/2023)
RR
Maine(5/31/2023)
RR
Maryland(5/31/2023)
RR
Massachusetts(5/31/2023)
RR
Michigan(5/31/2023)
RR
Minnesota(5/31/2023)
RR
Mississippi(5/31/2023)
RR
Missouri(5/31/2023)
RR
Montana(5/31/2023)
RR
Nebraska(5/31/2023)
RR
Nevada(5/31/2023)
RR
New Hampshire(5/31/2023)
RR
New Jersey(5/31/2023)
RR
New Mexico(5/31/2023)
RR
New York(5/31/2023)
RR
North Carolina(5/31/2023)
RR
North Dakota(5/31/2023)
RR
Ohio(5/31/2023)
RR
Oklahoma(5/31/2023)
RR
Oregon(5/31/2023)
RR
Pennsylvania(5/31/2023)
RR
Rhode Island(5/31/2023)
RR
South Carolina(5/31/2023)
RR
South Dakota(5/31/2023)
RR
Tennessee(5/31/2023)
RR
Texas(5/31/2023)
RR
Utah(5/31/2023)
RR
Vermont(5/31/2023)
RR
Virginia(5/31/2023)
RR
Washington(5/31/2023)
RR
West Virginia(5/31/2023)
RR
Wisconsin(5/31/2023)
RR
Wyoming(5/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CAMPBELL LUTYENS & CO. INC.
CAMPBELL LUTYENS & CO. INC.
CRD#: 133376 / SEC#: , 8-66720
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Mailing Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Phone number
(212) 223-8448
Established
Delaware since 03/04/2004
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL LUTYENS HOLDINGS LIMITED | HOLDING CO. OWNER | |
| COOPER, GERALD LEWIS | DIRECTOR | 4848399 |
| DAVIDSSON, CHRISTOFFER | PRESIDENT/DIRECTOR | 3021081 |
| MARROQUIN, GUILLERMO | DIRECTOR | 2791001 |
| PANGBORN, JOEL WILLIAMSON | CHIEF COMPLIANCE OFFICER | 5489742 |
| PAOLINO, CHRISTOPHER SR | FINANCIAL AND OPERATIONS PRINCIPAL | 5707178 |
| SANDSTROM, SARAH ANNE | DIRECTOR | 2278556 |
| WIENER, GREGORY SETH | AMLCO/DIRECTOR | 4877612 |
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.
