Joan L. Newcomb
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.
Joan Laura Newcomb, who also goes by J Laura Newcomb, Laura Newcomb, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1976. Joan had worked at 13 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - August 29, 2013
B. RILEY SECURITIES, INC.
April 10, 2008 - September 7, 2012
RBC CAPITAL MARKETS, LLC
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
July 9, 2007 - January 14, 2008
CIBC WORLD MARKETS CORP.
May 1, 2001 - June 27, 2007
J.P. MORGAN SECURITIES INC.
December 2, 1997 - May 1, 2001
JPMSI
April 13, 1992 - January 9, 1998
UBS SECURITIES LLC
July 5, 1991 - April 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 1988 - July 9, 1991
CREDIT SUISSE SECURITIES (USA) LLC
November 24, 1978 - August 15, 1988
PERSHING LLC
July 14, 1978 - September 12, 1978
BECKER PARIBAS INCORPORATED
April 10, 1978 - July 14, 1978
BECKER SECURITIES INCORPORATED
July 22, 1976 - July 29, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 4/11/1983
AMEX Put and Call ExamCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
