Richard E. Joyce
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.
Richard Edward Joyce JR, who also goes by Richard E Joyce Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 7 firms and has passed the Series 63, Series 55, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2013 - May 12, 2014
CRT CAPITAL GROUP LLC
May 25, 2010 - April 26, 2012
BMO CAPITAL MARKETS CORP.
July 28, 2004 - May 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 1997 - May 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1984 - May 30, 1997
MORGAN STANLEY & CO. LLC
June 3, 1982 - August 29, 1984
MORGAN STANLEY DW INC.
May 1, 1981 - July 14, 1981
SALOMON BROTHERS INC.
August 8, 1980 - May 1, 1981
MORGAN STANLEY DW INC.
September 21, 1978 - August 11, 1980
SALOMON BROTHERS INC.
February 24, 1978 - September 21, 1978
MORGAN STANLEY DW INC.
August 21, 1975 - February 24, 1978
REYNOLDS SECURITIES, 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 55
Date: 3/16/2000
Limited Representative-Equity Trader ExamPC
Date: 8/1/1980
AMEX Put and Call ExamSeries 8
Date: 5/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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