Joseph P. Lindsley

QUANTITATIVE PROCESS

Charlotte, NC 28277

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CRD#: 1158076

Professional summary

Joseph Patrick Lindsley SR, who also goes by J Lindsley, Joe Lindsley, Joseph Patrick Lindsley Sr., Joseph Patrick Lindsley, is a registered financial advisor currently at QUANTITATIVE PROCESS, LLC located in Charlotte, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Joseph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Lindsley | Joe Lindsley | Joseph Patrick Lindsley Sr. | Joseph Patrick Lindsley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) INSURANCE SALES - LICENSED SINCE 1991- CHARLOTTE, NC 28277; SALE OF FIXED/VARIABLE INSURANCE PRODUCTS; NON INVESTMENT RELATED; AGENT; INSURANCE SALES; 1% OF TIME SPENT. 2) BRAGG FINANCIAL ADVISORS, START DATE: JANUARY 2018 - CHARLOTTE, NC; INVESTMENT RELATED; TITLE: CONSULTANT, DUTIES INCLUDE: REVIEW OF RETIREMENT PLAN PROVISIONS, MONITOR RECORD-KEEPING, PERFORM COMPETITIVE FEE ANALYSIS, INVESTMENT MONITORING, 8 HOURS A MONTH, 6 DURING TRADING HOURS. 3) THALES COLLEGE, START DATE: JANUARY 2019 - RALEIGH, NC; NOT INVESTMENT RELATED; TITLE: TRUSTEE; DUTIES: OVERSIGHT AND OPERATIONAL ADVICE; ESTIMATED AT 2 HOURS A QUARTER, NO TIME DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Lindsley SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 16, 2014 - Present

QUANTITATIVE PROCESS, LLC

Office #1: 10700 Sikes Place Suite 395, Charlotte, NC 28277

RIA

CRD#: 165699

Charlotte, NC

Past

October 15, 2014 - July 31, 2018

KOVACK SECURITIES INC.

CRD#: 44848

Charlotte, NC

Past

January 16, 2013 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

CHARLOTTE, NC

Past

January 10, 2013 - March 17, 2014

QUANTITATIVE PROCESS, LLC

RIA

CRD#: 165699

CHARLOTTE, NC

Past

March 19, 2012 - January 8, 2013

MILESTONE INVESTMENTS, INC.

RIA

CRD#: 47090

CHARLOTTE, NC

Past

July 14, 1999 - January 8, 2013

MILESTONE INVESTMENTS, INC.

CRD#: 47090

CHARLOTTE, NC

Past

October 15, 1993 - April 9, 1996

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

August 7, 1991 - October 15, 1993

AELTUS CAPITAL, INC

CRD#: 24928

HARTFORD, CT

Past

July 21, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUANTITATIVE PROCESS, LLC

CRD#: 165699 / SEC#: 801-79279

RIA

Registered Investment Advisory firm - (3/10/2014 Approved)

North Carolina

Registered Investment Advisory firm - (3/17/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/16/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/10/1999

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/10/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/26/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/2/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

QUANTITATIVE PROCESS, LLC

CRD#: 165699 / SEC#: 801-79279

RIA

Registered Investment Advisory firm - (3/10/2014 Approved)

North Carolina

Registered Investment Advisory firm - (3/17/2014 Terminated)

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Contact information

Main Address

10700 Sikes Place Suite 395, Charlotte, NC 28277

Mailing Address

Phone number

(888) 253-3292

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUANTITATIVE PROCESS, LLC 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	277
AUM (Assets Under Management)	$ 454,403,768

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph P. Lindsley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Lindsley SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK SECURITIES INC.

RESOURCE HORIZONS GROUP LLC

QUANTITATIVE PROCESS, LLC

MILESTONE INVESTMENTS, INC.

MILESTONE INVESTMENTS, INC.

VOYA FINANCIAL PARTNERS, LLC

AELTUS CAPITAL, INC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

QUANTITATIVE PROCESS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/1999

Series 63

Date: 9/10/1991

SIE

Date: 7/31/2018

Series 6

Date: 4/26/1999

Series 26

Date: 5/2/1999

Current Firm

QUANTITATIVE PROCESS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUANTITATIVE PROCESS, LLC

TRUST BUT VERIFY

Contact information

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