Joel A. August
Professional summary
Joel Arnold August was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joel is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Joel had worked at 5 firms, which includes WHARTON EQUITY CORPORATION, ARUNDEL SECURITIES INC., UBS FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 1990 - December 31, 2005
WHARTON EQUITY CORPORATION
June 26, 1989 - December 19, 1990
ARUNDEL SECURITIES, INC.
March 28, 1983 - April 3, 1985
UBS FINANCIAL SERVICES INC.
March 9, 1982 - May 9, 1983
GRUNTAL & CO., L.L.C.
January 6, 1982 - February 25, 1982
LEHMAN BROTHERS INC.
May 23, 1980 - December 20, 1981
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 8
Date: 4/27/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WHARTON EQUITY CORPORATION
CRD#: 10170 / SEC#: , 8-26224
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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