Joseph L. Harkins
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 Lawrence Harkins JR, who also goes by Joe Harkins, Joseph Lawrence Harkins, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2017 - December 10, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
January 19, 2017 - December 10, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2014 - June 30, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2014 - June 30, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2012 - June 23, 2014
CETERA ADVISORS LLC
February 28, 2012 - June 23, 2014
CETERA ADVISORS LLC
February 22, 2008 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
February 15, 2008 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
November 1, 2007 - February 15, 2008
SPIRE SECURITIES, LLC
December 6, 2005 - February 15, 2008
SPIRE WEALTH MANAGEMENT, LLC
November 17, 2005 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 2, 2002 - November 17, 2005
GROVE POINT INVESTMENTS, LLC
November 6, 2002 - November 17, 2005
GROVE POINT INVESTMENTS, LLC
August 16, 1996 - November 19, 2002
INDEPENDENT ADVISERS GROUP CORP
May 25, 1993 - December 31, 2002
HARKINS INVESTMENT SOLUTIONS, INC.
June 3, 1992 - November 7, 2002
OSAIC FS, INC.
October 25, 1991 - June 9, 1992
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 26, 1986 - July 22, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 26, 1986 - July 22, 1991
PRUCO SECURITIES, LLC.
June 25, 1971 - October 22, 1980
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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: 6/21/1971
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
