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JOSEPH RAYMOND HUARD JR
CRD#: 1025521
PR
Previously Registered Broker
BARRED
The SEC has barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Registration History
1982198419861988199019921994199619982000200220042006BPHILLIP LOUIS TRADING, INC. (CRD# 19378)1998 - 2002 (4 years)BSHAMROCK PARTNERS, LTD (CRD# 23955)1989 - 2002 (12 years)BEUROPEAN EQUITY PARTNERS, INC. (CRD# 19378)1997 - 1997 (<1 year)BSHAMROCK PARTNERS, LTD. (CRD# 20033)1988 - 1989 (<1 year)BJEROLD SECURITIES & CO., INC. (CRD# 6594)1987 - 1988 (<1 year)BLOWENTHAL FINANCIAL SERVICES, INC. (CRD# 15635)1986 - 1987 (1 year)BBAIRD, PATRICK & CO., INC. (CRD# 1149)1986 - 1986 (<1 year)BPALM BEACH SECURITIES, INC. (CRD# 2968)1985 - 1985 (<1 year)BCITIWIDE SECURITIES CORP. (CRD# 10707)1983 - 1985 (1 year)BQUANTUM CAPITAL GROUP INC. (CRD# 10474)1982 - 1983 (1 year)BCOMMISSION DISCOUNT CORP. (CRD# 7245)1982 - 1982 (<1 year)
Disclosure(s)
View By:
5/31/2006
Regulatory
Final
9/13/2004
Regulatory
Final
7/29/2002
Criminal
Final Disposition
5/28/2002
Criminal
Final Disposition
10/15/1996
Regulatory
Final
11/16/1992
Regulatory
Final
Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/05/1998 - 12/19/2002 PHILLIP LOUIS TRADING, INC. (CRD#:19378)
FINRA expelled the firm on 02/26/2004
RED BANK, NJ
B
06/01/1989 - 01/24/2002 SHAMROCK PARTNERS, LTD (CRD#:23955) MEDIA, PA
B
11/06/1997 - 12/15/1997 EUROPEAN EQUITY PARTNERS, INC. (CRD#:19378)
FINRA expelled the firm on 02/26/2004
B
07/15/1988 - 06/01/1989 SHAMROCK PARTNERS, LTD. (CRD#:20033)
B
02/03/1987 - 01/01/1988 JEROLD SECURITIES & CO., INC. (CRD#:6594)
B
01/09/1986 - 08/04/1987 LOWENTHAL FINANCIAL SERVICES, INC. (CRD#:15635)
FINRA expelled the firm on 12/03/1990
B
06/03/1986 - 09/29/1986 BAIRD, PATRICK & CO., INC. (CRD#:1149)
B
06/11/1985 - 11/11/1985 PALM BEACH SECURITIES, INC. (CRD#:2968)
B
10/19/1983 - 06/12/1985 CITIWIDE SECURITIES CORP. (CRD#:10707)
FINRA expelled the firm on 08/31/1987
B
05/06/1982 - 10/13/1983 QUANTUM CAPITAL GROUP INC. (CRD#:10474)
B
04/27/1982 - 05/10/1982 COMMISSION DISCOUNT CORP. (CRD#:7245)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.

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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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