Joan M. Mccullough
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 Marie Mccullough, who also goes by Joan Marie Mcculough, Joan M Woods, Joan Marie Woods, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1978. Joan had worked at 8 firms and has passed the Series 63 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
May 20, 2014 - August 15, 2014
GILFORD SECURITIES INCORPORATED
May 16, 2005 - June 12, 2014
EAST SHORE PARTNERS, INC.
February 19, 1993 - May 26, 2005
J.P. MORGAN SECURITIES LLC
January 9, 1992 - January 1, 1993
JAMES CAPEL INCORPORATED
September 25, 1984 - September 17, 1991
NOMURA SECURITIES INTERNATIONAL, INC.
November 15, 1982 - August 30, 1984
MORGAN STANLEY DW INC.
December 3, 1981 - March 18, 1982
MORGAN STANLEY & CO. LLC
June 23, 1978 - November 6, 1981
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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