Joshua S. Mccabe
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.
Joshua Shayne Mccabe, who also goes by Joshua Shayne Mccabe, Joshua Mccabe, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2017. Joshua had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - August 1, 2019
SOLIUM FINANCIAL SERVICES LLC
December 7, 2017 - March 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2017 - March 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SOLIUM FINANCIAL SERVICES LLC
CRD#: 147933 / SEC#: , 8-67942
Contact information
Documents
Disclosures
| Regulatory Event | 46 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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