Bernard Joei Jr
Professional Summary
Bernard Joei JR, who also goes by Bernard Joei, was a registered financial advisor. Bernard was a previously registered financial professional and started their career in finance 1979 - 2008. Bernard had worked at 3 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bernard Joei
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
CATHAY FINANCIAL CORP. | CATHAY FINANCIAL SERVICES CO. LTD. | CATHAY FINANCIAL SERVICES CO. | CATHAY FINANCIAL LLC | CATHAY FINANCIAL INC
Contact Information
Established
Delaware since 05/20/2005Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOEI, BERNARD JR | PRESIDENT & SHAREHOLDER | 863856 |
| JOEI TRUST | SHAREHOLDER | — |
| WANG JOEI, LAVINIA | SHAREHOLDER | 2256363 |
| UENG, MEI HUI | SHAREHOLDER | 2228091 |
| BLACKMORE, KIMBERLY LYNN | CONTROLLER | 2219307 |
| BLACKMORE, KIMBERLY LYNN | CHIEF COMPLIANCE OFFICER | 2219307 |
| TURCHIANO, JOSEPH MARTIN | OPERATIONS MANAGER/CROP/SROP | 1880437 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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