Joel P. Rudolph
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 Peter Rudolph, who also goes by Peter Rudolph, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1981. Joel had worked at 5 firms and has passed the Series 63, Series 3, Series 5, Series 7 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
November 20, 1996 - July 20, 2012
SAMUELS CHASE & CO., INC.
January 5, 1994 - December 4, 1996
INTERNATIONAL SECURITIES GROUP, INC.
May 10, 1991 - January 6, 1994
VANGUARD CAPITAL
May 18, 1981 - May 28, 1991
LEHMAN BROTHERS INC.
February 23, 1981 - June 12, 1981
MORGAN STANLEY DW INC.
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
SAMUELS CHASE & CO., INC.
CRD#: 36699 / SEC#: , 8-47395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RANEY, CARRIE LYNN | PRESIDENT, VICE PRESIDENT, SECRETARY, CEO, CFO, CCO | 1100228 |
Disclosures
| Regulatory Event | 2 |
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.
