Joseph Shelley Moorhead
Professional Summary
Joseph Shelley Moorhead, who also goes by Joe Moorhead, is a registered financial advisor currently at SESLIA SECURITIES located in St. Thomas, undefined. Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Moorhead
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
DBA SESLIA SECURITIES | SESLIA VIRGIN ISLANDS SECURITIES, LLC | SESLIA VIRGIN ISLANDS SECURITIES, INC. | SESLIA VIRGIN ISLANDS SECURITIES LLC | SESLIA SECURITIES
Contact Information
Main Address
2107 Crystal Gade #7a, St. Thomas, VI 00802Phone Number
(340) 776-0677Established
Virgin Islands since 01/02/2014Firm Type
Limited Liability CompanyFiscal Year End
December# of Employees
2Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
145AUM (Assets Under Management)
$50,546,985Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/15/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Shelley Moorhead's CRS (Customer Relationship Summary).
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