Joseph L. Davis
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.
Joseph Lamar Davis, who also goes by Joe Davis, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2015. Joseph had worked at 3 firms and has passed the Series 57TO, SIE and Series 56 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2024 - June 2, 2026
CUMBERLAND SECURITIES LLC
September 28, 2018 - May 3, 2024
DRW SECURITIES, L.L.C.
January 15, 2015 - August 31, 2017
IMC FINANCIAL MARKETS
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 1/15/2015
Proprietary Trader Qualification ExaminationCurrent Firm
CUMBERLAND SECURITIES LLC
CRD#: 13970 / SEC#: , 8-31215
Contact information
FINRA licenses (1 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.
