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RJ

Robert Harry Joyce

CRD# 601624·Registered 1969 - 1989
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Harry Joyce, who also goes by Robert H Joyce, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1969 - 1989. Robert had worked at 13 firms and has passed the Series 63, Series 1 and Series 40 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert H Joyce

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

57 years in the financial services industry

Current & Past Employments

MARSHALL DAVIS, INC.·CRD# 16278
BD
November 8, 1985 - August 12, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION·CRD# 1398
BD
August 12, 1985 - November 5, 1985
GENESIS CAPITAL CORPORATION·CRD# 14813
BD
August 8, 1984 - July 26, 1985
B. J. LEONARD AND COMPANY, INC.·CRD# 62
BD
September 2, 1983 - October 9, 1984
AMERICAN WESTERN SECURITIES, INC.·CRD# 7619
BD
May 28, 1978 - October 20, 1980
FIRST COLORADO INVESTMENTS & SECURITIES, INC.·CRD# 6929
BD
November 21, 1975 - August 22, 1983
DOUGLASS & CO. INCORPORATED·CRD# 6408
BD
April 7, 1975 - April 24, 1977
PITTMAN & COMPANY, INCORPORATED·CRD# 5225
BD
March 21, 1975 - May 28, 1978
MJB INVESTMENTS·CRD# 1000007
BD
December 31, 1974 - March 21, 1975
BARTON AND COMPANY INCORPORATED·CRD# 6187
BD
August 24, 1972 - July 14, 1975
R ROULAND & CO INC·CRD# 1000004
BD
April 20, 1972 - June 7, 1972
SECURITIES MANAGEMENT & RESEARCH, INC.·CRD# 759
BD
April 19, 1972 - February 26, 1973
THE COLUMBIAN SECURITIES CORPORATION·CRD# 169
BD
December 29, 1970 - June 17, 1971
SECURITIES MANAGEMENT & RESEARCH, INC.·CRD# 759
BD
May 27, 1969 - February 4, 1971

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Current Firm

MD
MARSHALL DAVIS, INC.

MARSHALL DAVIS, INC. | NORTH AMERICAN VENDING CORPORATION

CRD#: 16278 / SEC#: 8-33619
BD
Expelled by FINRA on 05/30/1991

Contact Information

Established

Nevada since 12/18/1984

Firm Type

Corporation

Fiscal Year End

June

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1981About the Series 63 exam

Series 1 — Registered Representative Examination

Passed May 1969

Series 40 — Registered Principal Examination

Passed Jan 1976

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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