JOULE FINANCIAL, LLC of LEXINGTON, KY is an SEC-registered investment adviser (CRD 320791). Regulatory assets under management: $478.6M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Robert Bredt Norwood | VICE PRESIDENT | — |
| Lori Ann Markham | ASSISTANT SECRETARY | — |
| William Lewis Tatro | MANAGING DIRECTOR , CHIEF INVESTMENT OFFICER | — |
| Daniel Joseph Czulno | MANAGING DIRECTOR, CHIEF OPERATIONS OFFICER | — |
| Angela Maren Osborne | VICE PRESIDENT | — |
| Harold Buckner | VICE PRESIDENT | — |
| Stacy Ria Howell | CHIEF COMPLIANCE OFFICER | — |
| TATRO WILLIAM LEWIS | MANAGING DIRECTOR , CHIEF INVESTMENT OFFICER | — |
| NORWOOD ROBERT BREDT | VICE PRESIDENT | — |
| CZULNO DANIEL JOSEPH | MANAGING DIRECTOR, CHIEF OPERATIONS OFFICER | — |
| OSBORNE ANGELA MAREN | VICE PRESIDENT | — |
| MARKHAM LORI ANN | ASSISTANT SECRETARY | — |
| DESCOTEAUX DIANNE MARIE | CHIEF COMPLIANCE OFFICER | — |
| Buckner Harold | VICE PRESIDENT | — |
| HOWELL-PEREIRA STACY | CHIEF COMPLIANCE OFFICER | — |
| HOWELL STACY | CHIEF COMPLIANCE OFFICER | — |
| HOWELL STACY RIA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-05-01 | regulatory | ADVISOR TRANSITIONING TO THE FIRM, MARK T. HENDRIX, WAS NOT DUAL REGISTERED AS REQUIRED FOR THE ENTIRETIME PERIOD HE ADVISED CLIENTS UNDER BOTH FIRMS. | Final | $2K |