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Detailed Report
VICTOR JOSEPH DROUBIE JR
V. JOSEPH DROUBIE JR
CRD#: 1892542
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IALPL FINANCIAL LLC (CRD# 6413)2019 - 2023 (4 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2003 - 2019 (15 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (3 years)
Disclosure(s)
View By:
1/31/2024
Regulatory
Final
10/20/2023
Employment Separation After Allegations
8/13/2023
Criminal
Pending Charge
4/14/2023
Criminal
Pending Charge
2/18/2019
Financial
Final
2/8/2019
Financial
Final
1/29/1999
Customer Dispute
Settled
Previous Registration(s)
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 06/19/2019 - 11/02/2023 LPL FINANCIAL LLC (CRD#:6413) CLEARWATER, FL
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 07/01/2003 - 06/20/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CLEARWATER, FL
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 07/25/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CLEARWATER, FL
For additional information about investment advisers or broker-dealers, please visit
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B
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
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.