Individual Firm
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JOSEPH EARL LONG
JAY LONG, JOE E LONG, JOE EARL LONG
CRD#: 1198708
IA
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CUSO FINANCIAL SERVICES, L.P.CRD#: 42132 3498-A MT. DIABLO BLVD
LAFAYETTE, CA 94549
LAFAYETTE, CA 94549
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5/5/2001
Criminal
Final Disposition
State Registrations
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Arizona 11/6/2007
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New York 7/25/2014
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California 4/20/2006
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North Carolina 6/27/2024
B
California 4/21/2006
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Ohio 10/26/2017
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Georgia 7/8/2016
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Oregon 11/16/2009
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Hawaii 3/7/2018
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Utah 10/25/2016
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Idaho 8/16/2019
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Washington 9/2/2014
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Nevada 5/25/2012
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Wyoming 10/26/2016
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New Jersey 5/9/2006
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 4/20/2006
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Registered with this firm since 4/21/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/18/2005 - 04/19/2006 | SAN MATEO, CA | |
B | 07/14/2005 - 04/19/2006 | SAN MATEO, CA | |
B | 06/13/2003 - 10/15/2003 | NEW YORK, NY | |
B | 11/29/2001 - 01/21/2003 | LOS ANGELES, CA | |
B | 10/02/1995 - 10/22/2001 | ST. PETERSBURG, FL | |
B | 07/14/1992 - 10/02/1995 | CHICAGO, IL | |
B | 03/07/1990 - 07/24/1991 | NEW YORK, NY | |
B | 09/19/1986 - 01/23/1990 | LOS ANGELES, CA | |
B | 01/25/1984 - 07/24/1985 |
NEW YORK, NY
06/13/2003 - 10/15/2003
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.