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Joseph William Poen

Barclays Capital Inc.

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About Joseph William Poen

Joseph William Poen is a financial advisor currently registered with Barclays Capital Inc. in Los Angeles, California. Joseph has a background in Investment Banking and has held positions with Credit Suisse Securities (USA) LLC and Wells Fargo Securities, LLC in the past. Joseph holds licenses for Series 7, 63, 79TO, 86, and 87.

Firm Information

Joseph Poen is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Joseph Poen’s Registration & Firm History

CA

08/03/2023 - Present

Barclays Capital Inc. (LOS ANGELES CA)

CA

05/23/2022 - 08/30/2023

CREDIT SUISSE SECURITIES (USA) LLC (San Francisco CA)

CA

11/01/2018 - 05/03/2022

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 03/27/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/17/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/10/2020

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/19/2019

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/02/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph William Poen.
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