Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Joseph T Spendley
JOE SPENDLEY, JOSEPH SPENDLEY, Joseph Thomas Spendley
CRD#: 2853769
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 5105 Grace Park Drive
Morrisville, NC 27560
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
California 10/2/2020
B
New York 2/19/2019
B
Colorado 6/17/2022
IA
North Carolina 11/23/2018
B
Connecticut 10/15/2024
B
North Carolina 11/26/2018
B
Florida 6/21/2019
B
South Carolina 2/19/2019
B
Georgia 9/25/2020
B
Virginia 2/19/2019
B
Illinois 5/22/2024
B
Washington 10/25/2021
B
Massachusetts 10/18/2021
B
West Virginia 4/25/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
5105 Grace Park Drive, Morrisville, NC 27560
Registered with this firm since 11/23/2018
B
EDWARD JONES (CRD#:250)
5105 Grace Park Drive, Morrisville, NC 27560
Registered with this firm since 9/17/2018
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.