Joseph E. Hardgrove
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 Edwin Hardgrove was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2010 - December 31, 2017
OMEGA WEALTH PARTNERS, INC.
October 4, 1994 - May 2, 1996
RHODES SECURITIES, INC.
July 8, 1992 - August 25, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 23, 1983 - March 3, 2010
OMEGA SECURITIES, INC.
May 27, 1976 - October 19, 2016
OMEGA SECURITIES, INC.
February 20, 1973 - June 12, 1976
CORNERSTONE FINANCIAL SERVICES, INC.
October 28, 1971 - March 12, 1973
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 6, 1970 - November 7, 1971
ENTERPRISE FUND DISTRIBUTORS, INC.
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 1
Date: 10/17/1961
Registered Representative ExaminationSeries 00
Date: 12/23/1969
General Securities Principal ExaminationCurrent Firm
OMEGA WEALTH PARTNERS, INC.
CRD#: 152919 / SEC#: 801-71846
Contact information
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 621,435,501 |
Red Flags
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