Joshua A. Burnie
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.
Joshua Alexander Burnie was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2014 - February 4, 2015
GUARDIAN INVESTOR SERVICES LLC
August 5, 2011 - April 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2011 - August 9, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 2007 - May 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2007 - May 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2005 - July 27, 2007
CITIGROUP GLOBAL MARKETS INC.
December 8, 2003 - July 27, 2007
CITIGROUP GLOBAL MARKETS INC.
July 6, 2001 - December 8, 2003
MORGAN STANLEY DW INC.
February 27, 2001 - June 5, 2001
NATIXIS DISTRIBUTION, LLC
February 3, 1998 - June 19, 2000
IDS LIFE INSURANCE COMPANY
February 3, 1998 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
GUARDIAN INVESTOR SERVICES LLC
CRD#: 6635 / SEC#: 801-9654, 8-14108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BESSEL, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, ADVISER | 2963742 |
| CEFOLE, MICHAEL B | PRESIDENT & LLC MANAGER | 2720073 |
| FERIK, MICHAEL NICHOLAS | LLC MANAGER | 4994941 |
| POTTER, RICHARD THOMAS JR | SR. VICE PRESIDENT & COUNSEL | 1469205 |
| SENKER, LINDA ELLEN | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 1980001 |
| SHALLOW, KURT JOSEPH | V.P., RISK PRODUCTS DISTRIBUTION | 1650106 |
| SORELL, THOMAS GEORGE | CHIEF INVESTMENT OFFICER | 1020936 |
| SULLIVAN, DONALD PAUL JR | LLC MANAGER | 1022281 |
| WALTER, JOHN H. | SR. VP & CONTROLLER | 2358945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
