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JM

Joan K. Mayer

RSP INVESTMENTS
Washington, DC 20037
Some features on this profile are disabled
CRD#: 6186877
JM

Professional summary

Joan Karyle Mayer, who also goes by Joan Karyle Peugh, is a registered financial professional currently at RSP INVESTMENTS, LLC located in Washington, District Of Columbia.

Joan is registered as a RR (Registered Representative) and started their career in finance in 2019. Joan has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joan Karyle Peugh

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 Karyle Mayer's 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

August 16, 2019 - Present

RSP INVESTMENTS, LLC

Office #1: 2550 M Street Nw Suite 321, Washington, DC 20037
BD
CRD#: 161622
Washington, DC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
District of Columbia
(8/22/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RSP INVESTMENTS, LLC
RSP INVESTMENTS, LLC

CRD#: 161622 / SEC#: , 8-69046

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

Main Address
2550 M Street Nw Suite 321, Washington, DC 20037
Mailing Address
2550 M Street Nw Suite 321, Washington, DC 20037
Phone number
(202) 446-0493
Established
District of Columbia since 10/07/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RSP HOLDINGS, LLCOWNER
MAYER, JOAN KARYLECHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER6186877
SCHWERIN, ERIC DAVIDDIRECTOR
TUCKER, CLARK BOMARFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1977842

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

RSP INVESTMENTS, LLC

CRD#: 161622Washington, DC 20037

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