Joseph D. Blair
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.
Joseph Dean Blair, CFP® was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 53 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
November 29, 2022 - July 22, 2024
LPL FINANCIAL LLC
November 29, 2022 - July 22, 2024
LPL FINANCIAL LLC
February 1, 2016 - November 30, 2022
OSAIC FS, INC.
February 1, 2016 - November 30, 2022
OSAIC FS, INC.
March 24, 2015 - November 23, 2015
GIRARD PARTNERS LTD.
June 29, 2012 - November 23, 2015
GIRARD INVESTMENT SERVICES, LLC
February 22, 2012 - June 19, 2012
SECURIAN FINANCIAL SERVICES, INC.
September 7, 2011 - June 19, 2012
SECURIAN FINANCIAL SERVICES, INC.
February 15, 2010 - May 5, 2010
CETERA INVESTMENT SERVICES LLC
January 12, 2010 - May 5, 2010
CETERA INVESTMENT SERVICES LLC
September 7, 2007 - April 9, 2008
NEUBERGER BERMAN BD LLC
July 30, 2007 - April 9, 2008
NEUBERGER BERMAN BD LLC
January 19, 2006 - July 24, 2007
INVEST FINANCIAL CORPORATION
September 10, 2004 - May 18, 2005
COMMERCE CAPITAL INVESTMENTS, INC.
August 12, 2004 - May 18, 2005
TD WEALTH MANAGEMENT SERVICES INC.
August 30, 1999 - June 29, 2004
ADVEST, INC.
July 6, 1995 - July 31, 1999
J.D. BLAIR SECURITIES CORP.
May 20, 1986 - August 9, 1988
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
