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JW

Joan Walker

MURIEL SIEBERT & CO.
Boston, MA 02110
Some features on this profile are disabled
CRD#: 5760828
JW

Professional summary

Joan Walker is a registered financial professional currently at MURIEL SIEBERT & CO., LLC located in Boston, Massachusetts.

Joan is registered as a RR (Registered Representative) and started their career in finance in 2012. Joan has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joan Walker's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 2, 2020 - Present

MURIEL SIEBERT & CO., LLC

Office #1: 100 Summer Street Unit 1600, Boston, MA 02110
BD
CRD#: 5376
Boston, MA
Past

August 28, 2012 - January 30, 2020

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/27/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MURIEL SIEBERT & CO., LLC
MURIEL SIEBERT & CO., INC. | MURIEL SIEBERT & CO., LLC

CRD#: 5376 / SEC#: , 8-14900

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street 5th Floor, New York, NY, 10282
Mailing Address
653 Collins Avenue, Miami Beach, FL 33139
Phone number
(800) 872-0444
Established
Delaware since 01/01/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIEBERT FINANCIAL CORPORATIONPARENT COMPANY
BENDER, KYLE ROBERTREGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ("ROSFP")2287329
BONO, RONALD ROSSCUSTOMER RELATIONSHIP OFFFICER1247269
COLOMBINO, MICHAEL JONATHANCHIEF FINANCIAL OFFICER/BOARD MEMBER4871852
GEBBIA, GLORIA ESTELLEBOARD MEMBER2126152
GEBBIA, JOHN MICHAELCO-CEO/BOARD MEMBER1866455
GEBBIA, RICHARD SALCO-CEO/BOARD MEMBER2348552
REICH, ANDREW HENRYBOARD MEMBER1966909
SCHEBECE, GREGORY CHARLESCHIEF INFORMATION OFFICER1498632
SCUTERI, FREDRICK PAULCHIEF OPERATING OFFICER2623915
SOSNOWSKI, PETER JAMESNATIONAL SALES MANAGER1540143
VILLELLA, BARBARA DUNNECCO/AMLCO1719722

Disclosures

Regulatory Event6
Arbitration1

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.

Company Information

MURIEL SIEBERT & CO., LLC

CRD#: 5376Boston, MA 02110

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