JB
Joyce L. Briskin
DOMINION PORTFOLIO MANAGEMENT
SAN ANTONIO, TX
Some features on this profile are disabled
CRD#: 708049
JB
Professional summary
Joyce Lynell Briskin, who also goes by Joyce L Beall, Joyce L Briskin, is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in San Antonio, Texas and CALTON & ASSOCIATES, INC. located in Marble Falls, Texas.
Joyce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Joyce has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joyce L Beall | Joyce L Briskin
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joyce Lynell Briskin'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®
NoneExperience
Current
February 6, 2006 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
RIA
CRD#: 106918
SAN ANTONIO, TX
Current
July 2, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1002 Marble Heights Drive Suite 101, Marble Falls, TX 78654RIA
BD
CRD#: 20999
Marble Falls, TX
Past
February 23, 1995 - July 19, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
SAN ANTONIO, TX
Past
September 25, 1990 - February 23, 1995
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
September 4, 1990 - October 4, 1990
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
October 12, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
HOUSTON, TX
Past
April 24, 1980 - October 19, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(7/2/2023)
RR
Illinois(7/10/2023)
IAR
Texas(2/6/2006)
RR
Texas(7/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)PREMIUM
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
