Joseph F. Huber
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 Fowler Huber was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 5, PC, Series 1, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1978 - November 11, 2024
CREDIT SUISSE SECURITIES (USA) LLC
October 27, 1970 - November 10, 1977
WHITE, WELD & CO. INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationPC
Date: 10/13/1981
AMEX Put and Call ExamSeries 1
Date: 10/22/1970
Registered Representative ExaminationSeries 40
Date: 7/1/1974
Registered Principal 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 | 322 |
| 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.
