Thomas M. Joseph
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Michael Joseph, who also goes by Tom Joseph, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - January 17, 2019
KESTRA ADVISORY SERVICES, LLC
January 22, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 22, 2008 - January 17, 2019
KESTRA INVESTMENT SERVICES, LLC
June 1, 2005 - January 25, 2008
EQUITABLE ADVISORS, LLC
June 1, 2005 - January 25, 2008
EQUITABLE ADVISORS, LLC
November 18, 2002 - June 1, 2005
MONY SECURITIES CORPORATION
February 20, 2001 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
December 15, 1993 - June 1, 2005
MONY SECURITIES CORPORATION
February 22, 1993 - November 1, 1993
CARILLON INVESTMENTS, INC.
July 29, 1985 - February 12, 1993
NEW ENGLAND SECURITIES
November 2, 1982 - May 16, 1985
METROPOLITAN LIFE INSURANCE COMPANY
November 2, 1982 - May 16, 1985
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
