Joseph French
Professional summary
Joseph French, who also goes by Joe French, Joseph Alan French, is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Memphis, Tennessee.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1985. Joseph has worked at 7 firms and has passed the Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph French's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2019 - Present
CARTY, HARDING & HEARN, INC.
Office #1: 6263 Poplar Avenue Suite 800, Memphis, TN 38119July 3, 2002 - April 5, 2019
FHN FINANCIAL SECURITIES CORP.
March 19, 2001 - July 16, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
March 5, 2001 - March 23, 2001
FHN FINANCIAL SECURITIES CORP.
January 13, 1995 - January 31, 1996
CARTY, HARDING & HEARN, INC.
May 8, 1990 - January 30, 1991
FIRST FUNDS, INC.
December 6, 1988 - December 21, 1989
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 13, 1988 - December 8, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
November 18, 1987 - June 6, 1988
WACHOVIA SECURITIES, INC.
February 1, 1985 - October 20, 1987
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2025)
(8/7/2019)
(8/7/2019)
(5/10/2019)
(5/10/2019)
(5/10/2019)
(5/10/2019)
(5/10/2019)
(5/10/2019)
(5/13/2019)
(5/10/2019)
(5/10/2019)
(5/10/2019)
(4/29/2019)
(2/14/2023)
(5/10/2019)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
Company Information
CARTY, HARDING & HEARN, INC.
CRD#: 7001Memphis, TN 38119TRUST BUT VERIFY
Monitor Joseph French
Get automatic monthly alerts on:
