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Detailed Report
JOE DAVID GAINER JR
CRD#: 4517367
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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
20042006200820102012201420162018202020222024IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2022 (5 years)IASUNTRUST ADVISORY SERVICES LLC (CRD# 283390)2016 - 2016 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2013 - 2016 (3 years)IAHANCOCK INVESTMENT SERVICES, INC. (CRD# 40637)2010 - 2013 (2 years)IALPL FINANCIAL CORPORATION (CRD# 6413)2006 - 2010 (3 years)IAEDWARD JONES (CRD# 250)2005 - 2006 (1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2003 - 2005 (1 year)
Disclosure(s)
View By:
12/1/2023
Regulatory
Final
9/23/2020
Customer Dispute
Denied
Previous Registration(s)
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 11/15/2016 - 06/15/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MARIANNA, FL
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 09/01/2016 - 11/15/2016 SUNTRUST ADVISORY SERVICES LLC (CRD#:283390) PANAMA CITY BEACH, FL
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 01/14/2013 - 11/15/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) PANAMA CITY, FL
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 04/07/2010 - 01/07/2013 HANCOCK INVESTMENT SERVICES, INC. (CRD#:40637) TALLAHASSEE, FL
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 11/06/2006 - 04/16/2010 LPL FINANCIAL CORPORATION (CRD#:6413) PANAMA CITY, FL
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 05/05/2005 - 11/07/2006 EDWARD JONES (CRD#:250) PANAMA CITY, FL
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 10/17/2003 - 04/20/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PANAMA CITY, FL
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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
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.