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JOSEPH S. SURRELL

Some features on this profile are disabled
CRD#: 2678291
JS

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 STEPHEN SURRELL, who also goes by Joe Surrell, was a registered financial professional .

JOSEPH is a previously registered financial professional and started their career in finance in 1996. JOSEPH had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Biography

Joe is an Associate in the Louisville office, where he evaluates financial risks that could potentially impact the firm. Prior to joining Cerity Partners, Joe served as a Risk Management Specialist at ARGI Financial Group, where he helped build the Risk Management department.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Surrell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NATIONAL LIFE OF VERMONT-VT 05604-INVESTMENT RELATED-1/31/07- TRAILS FROM BUSINESS PRIOR TO JOINING, NO HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 25, 2023 - January 8, 2024

CERITY PARTNERS LLC

RIA
CRD#: 151559
Louisville, KY
Past

January 27, 2010 - April 24, 2023

CERITY PARTNERS OCIO LLC

RIA
CRD#: 151916
LOUISVILLE, KY
Past

January 14, 2008 - May 31, 2013

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
LOUISVILLE, KY
Past

January 29, 2007 - May 31, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOUISVILLE, KY
Past

April 17, 1996 - January 30, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/19/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/16/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)
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Contact information

Main Address
99 Park Avenue 16th Floor, New York, NY 10016
Mailing Address
Phone number
(212) 850-4260
Established
Firm type
Fiscal year end
# of Employees
1,166

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts19,810
AUM (Assets Under Management)$ 122,848,693,051

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/23/2025
Cover Page
Report
07/24/2024
Cover Page
Report
09/28/2023
Cover Page
Report

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.

Company Information

CERITY PARTNERS LLC

ASSOCIATECRD#: 151559

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Contact information

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