Joseph M. Sharma
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 Michael Sharma, who also goes by Joe Sharma, Joseph Sharma, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 3 firms and has passed the Series 65, Series 63 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 28, 2018 - April 10, 2026
OLIVER LUXXE ASSETS LLC
December 18, 2012 - February 9, 2018
SYSTEMATIC FINANCIAL MANAGEMENT LP
March 24, 1996 - January 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
OLIVER LUXXE ASSETS LLC
CRD#: 169588 / SEC#: 801-78786
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
OLIVER LUXXE ASSETS LLC
CRD#: 169588 / SEC#: 801-78786
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,554 |
| AUM (Assets Under Management) | $ 864,222,900 |
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.
