Joseph T. Harper
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 Taylor Harper, who also goes by Joe Taylor Harper, Joe Harper, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 13 firms and has passed the Series 63, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2005 - June 26, 2013
CREDIT SUISSE SECURITIES (USA) LLC
December 16, 2005 - June 26, 2013
CREDIT SUISSE SECURITIES (USA) LLC
May 28, 2004 - January 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 20, 2004 - January 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
February 6, 1997 - February 26, 2004
WILLIAM R. HOUGH & CO.
January 29, 1997 - February 26, 2004
WILLIAM R. HOUGH & CO.
August 16, 1994 - November 15, 1996
MARINER FINANCIAL SERVICES, INC.
February 4, 1991 - October 9, 1992
OSAIC FS, INC.
May 16, 1988 - April 6, 1989
UBS FINANCIAL SERVICES INC.
December 14, 1987 - May 23, 1988
GULFSTREAM FINANCIAL ASSOCIATES, INC.
February 24, 1978 - May 14, 1979
MORGAN STANLEY DW INC.
January 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
May 15, 1971 - December 7, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 1971 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
December 10, 1968 - July 23, 1971
ALLEN & CO
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 000
Date: 5/15/1971
General Securities Principal ExaminationSeries 1
Date: 11/29/1968
Registered Representative ExaminationCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
