Joseph S. Moorhead

SESLIA SECURITIES

St. Thomas, VI 00802

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CRD#: 2267511

Professional summary

Joseph Shelley Moorhead, who also goes by Joe Moorhead, is a registered financial advisor currently at SESLIA SECURITIES located in St. Thomas, .

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Moorhead

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Shelley Moorhead's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 15, 2022 - Present

SESLIA SECURITIES

Office #1: 2107 Crystal Gade #7a, St. Thomas, VI 00802

RIA

CRD#: 30624

St. Thomas, VI

Past

June 17, 2019 - August 15, 2019

SESLIA SECURITIES

RIA

CRD#: 30624

ST. THOMAS, VI

Past

March 28, 1994 - June 25, 2019

SESLIA SECURITIES

CRD#: 30624

ST. THOMAS, VI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virgin Islands
(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

State Security Law Exam

IAR

Series 65

Date: 9/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SESLIA SECURITIES

DBA SESLIA SECURITIES | SESLIA VIRGIN ISLANDS SECURITIES, LLC | SESLIA VIRGIN ISLANDS SECURITIES, INC. | SESLIA VIRGIN ISLANDS SECURITIES LLC | SESLIA SECURITIES

CRD#: 30624 / SEC#: 801-58144, 8-45039

RIA

Registered Investment Advisory firm - SEC (5/7/2009 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (4/28/2021 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/20/2022 Approved)

Virgin Islands

Registered Investment Advisory firm - SEC (4/14/2021 Approved)

Terminated by SEC on 09/09/2019

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2107 Crystal Gade #7a, St. Thomas, VI 00802

Mailing Address

Phone number

(340) 776-0677

Established

Virgin Islands since 01/02/2014

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SESLIA & COMPANY	MANAGING MEMBER
MOORHEAD, JOSEPH SHELLEY	SECRETARY	2267511
MOORHEAD, JUSTIN LESLIE	DIRECTOR/INDIVIDUAL MEMBER/ CHIEF COMPLIANCE OFFICER	1510448

Regulatory assets under management

Total Number of Accounts	591
AUM (Assets Under Management)	$ 42,779,154

Disclosures

Regulatory Event

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.

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Joseph S. Moorhead

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Shelley Moorhead's CRS (Customer Relationship Summary).

Certified licenses

Experience

SESLIA SECURITIES

SESLIA SECURITIES

SESLIA SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2006

Series 63

Date: 3/18/1999

SIE

Date: 10/1/2018

Series 6

Date: 3/18/1994

Current Firm

SESLIA SECURITIES

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SESLIA SECURITIES

TRUST BUT VERIFY

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