Joan B. Horoho
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 B Horoho was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 2010. Joan had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - May 1, 2013
BILL FEW SECURITIES, 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
BILL FEW SECURITIES, INC.
CRD#: 41917 / SEC#: , 8-49625
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BILL FEW FINANCIAL GROUP, INC. | SOLE SHAREHOLDER | |
| JONES, JOHN EDWARD JR | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, DIRECTOR, CFO, PRESIDENT, SECRETARY | 2363024 |
Disclosures
| Regulatory Event | 2 |
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.
