John T. 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.
John Thomas Joseph JR, who also goes by Jock Joseph, John T Joseph, John Thomas Joseph, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 15, Series 5, Series 7, Series 53, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2005 - August 12, 2019
ADVISORS ASSET MANAGEMENT, INC.
May 5, 2005 - August 12, 2019
ADVISORS ASSET MANAGEMENT, INC.
April 25, 2002 - June 17, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 23, 1999 - December 1, 2003
ROBERT W. BAIRD & CO. INCORPORATED
October 23, 1999 - December 1, 2003
ROBERT W. BAIRD & CO. INCORPORATED
December 13, 1995 - November 12, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 1991 - November 21, 1995
UBS FINANCIAL SERVICES INC.
September 15, 1989 - January 1, 1991
ROTAN MOSLE INC.
March 23, 1984 - October 2, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
Series 15
Date: 4/24/1987
Foreign Currency Options ExaminationSeries 5
Date: 1/9/1987
Interest Rate Options ExaminationSeries 8
Date: 3/15/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
