Joseph F. Turley
Professional summary
Joseph Francis Turley, who also goes by Jay Turley, Joseph Francis Turley Jr, is a registered financial advisor currently at BREAKWATER INVESTMENT MANAGEMENT located in Seattle, Washington.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Francis Turley's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2009 - Present
BREAKWATER INVESTMENT MANAGEMENT
Office #1: 2033 Sixth Avenue #1010, Seattle, WA 98121July 28, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 28, 2003 - August 25, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 2003 - August 25, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 1984 - December 21, 1984
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
BREAKWATER INVESTMENT MANAGEMENT
CRD#: 150841 / SEC#: 801-79040
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/27/2009)
Exams
Current Firm
BREAKWATER INVESTMENT MANAGEMENT
CRD#: 150841 / SEC#: 801-79040
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 557 |
| AUM (Assets Under Management) | $ 250,791,556 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2025 | ||
| 11/15/2024 | ||
| 08/07/2023 | ||
| 07/18/2022 |
Red Flags
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