Articles Tagged with James Joly

James JolyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2018 indicate that former Rhode Island-based Voya Financial Advisors broker/adviser James Joly has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Joly (CRD# 2193463).

James Joly has spent 26 years in the securities industry and has been registered with Voya Financial Advisors in East Greenwich, Rhode Island since August 2017. Previous registrations include Morgan Stanley in Newport, Rhode Island (2017); LPL Financial in East Greenwich, Rhode Island (1996-2017); and First Investors Corporation in New York, New York (1991-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 30, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on June 12, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 14, 1991; and Series 24 (General Securities Principal Examination), which he obtained on October 30, 1997. He is a registered broker with eight US states and territories: California, Connecticut, Indiana, New York, North Carolina, Ohio, Rhode Island and South Carolina.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint and one denied customer complaint.