Curtis A. Yocom
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.
Curtis Albert Yocom JR was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1980. Curtis had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2004 - December 31, 2015
BROKER DEALER FINANCIAL SERVICES CORP.
September 1, 1995 - June 30, 2004
HORNOR, TOWNSEND & KENT, LLC
January 27, 1992 - August 30, 1995
BROKER DEALER FINANCIAL SERVICES CORP.
August 22, 1991 - February 5, 1992
DICKINSON & CO.
October 20, 1980 - September 9, 1989
EQUITABLE ADVISORS, LLC
April 24, 1980 - September 9, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/19/1980
Registered Representative ExaminationCurrent Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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