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JW

Joshua S. Wexler-waite

Some features on this profile are disabled
CRD#: 6514022
JW

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 Samuel Wexler-waite, who also goes by Joshua Samuel Wexler-waite, Joshua Wexler-waite, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2018. Joshua had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Samuel Wexler-Waite | Joshua Wexler-Waite

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)

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

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

Past

April 26, 2021 - May 19, 2022

THREE OCEAN SECURITIES LLC

BD
CRD#: 166387
NEW YORK, NY
Past

May 10, 2019 - July 2, 2020

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

March 27, 2018 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 2/22/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/27/2018
Investment Banking Registered Representative Examination

Current Firm

TO
THREE OCEAN SECURITIES LLC
THREE OCEAN PARTNERS ADVISORS LLC | THREE OCEAN SECURITIES LLC

CRD#: 166387 / SEC#: , 8-69203

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

Main Address
551 Fifth Avenue, Suite 3800, New York, NY 10176
Mailing Address
551 Fifth Avenue, Suite 3800, New York, NY 10176
Phone number
(212) 259-0559
Established
Delaware since 07/22/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THREE OCEAN PARTNERS LLCSOLE MEMBER
KNOWLTON, DAVID WILLIAMCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2316310
SCHAPS, MICHAEL ROBERTCFO, FINOP, PFO, POO1892138

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

THREE OCEAN SECURITIES LLC

CRD#: 166387

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