Joel I. Franklin
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.
Joel Irvin Franklin was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1980. Joel had worked at 6 firms and has passed the Series 65, Series 63, Series 62, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1999 - June 7, 2001
DOMINION INVESTOR SERVICES, INC.
September 22, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
April 18, 1997 - August 28, 1998
SUNAMERICA SECURITIES, INC.
February 27, 1996 - April 16, 1997
WMA SECURITIES, INC.
September 7, 1993 - February 21, 1996
SUNPOINT SECURITIES, INC.
June 20, 1986 - September 10, 1993
WALNUT STREET SECURITIES, INC.
July 28, 1980 - May 31, 1986
USLIFE EQUITY SALES CORP.
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 62
Date: 7/19/1989
Corporate Securities Limited Representative ExaminationSeries 1
Date: 7/15/1980
Registered Representative ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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