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JP

Joseph A. Pickert

Some features on this profile are disabled
CRD#: 2279759
JP

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 Albert Pickert was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 29, 2016 - April 4, 2018

KORNITZER CAPITAL MANAGEMENT, INC.

RIA
CRD#: 111087
SHAWNEE MISSION, KS
Past

May 1, 2015 - April 2, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

January 11, 2012 - March 31, 2015

ENDEX CAPITAL MANAGMENT LLC

RIA
CRD#: 109541
MERRIAM, KS
Past

January 11, 2012 - March 31, 2015

DEMARCHE

RIA
CRD#: 145851
MERRIAM, KS
Past

October 27, 2011 - March 31, 2015

KANSAS CITY BROKERAGE. INC

BD
CRD#: 32383
MERRIAM, KS
Past

December 15, 2003 - February 7, 2006

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

April 5, 2002 - December 15, 2003

AELTUS CAPITAL, INC

BD
CRD#: 24928
HARTFORD, CT
Past

April 17, 1998 - February 22, 2002

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

September 17, 1992 - May 1, 1998

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KC
KORNITZER CAPITAL MANAGEMENT, INC.
KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA
Registered Investment Advisory firm - (8/4/1989 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/10/2012
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/15/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/26/2015
Investment Company Products/Variable Contracts Principal Examination

Current Firm

KC
KORNITZER CAPITAL MANAGEMENT, INC.
KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA
Registered Investment Advisory firm - (8/4/1989 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5420 West 61st Place, Mission, KS 66205-3084
Mailing Address
P.o. Box 918, Shawnee Mission, KS 66201-0918
Phone number
(913) 677-7778
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROCHURE DISCLOSURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts5,127
AUM (Assets Under Management)$ 6,752,273,410

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/20/2025
Cover Page
Report
11/19/2024
Cover Page
Report
09/25/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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

KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087

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