Joseph K. Clottey
Professional summary
Joseph Kortei Clottey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Joseph had worked at 12 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, HARRISDIRECT LLC, E*TRADE SECURITIES LLC, AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., CITICORP INVESTMENT SERVICES, TD AMERITRADE INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, LEGEND MERCHANT GROUP INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2014 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2014 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2012 - September 23, 2014
HARRISDIRECT LLC
May 11, 2009 - September 23, 2014
E*TRADE SECURITIES LLC
May 16, 2007 - January 6, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 29, 2004 - May 21, 2007
CITICORP INVESTMENT SERVICES
May 28, 1998 - January 7, 2004
TD AMERITRADE, INC.
January 16, 1998 - June 23, 1998
IDS LIFE INSURANCE COMPANY
January 16, 1998 - June 23, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
December 12, 1997 - July 6, 1998
LEGEND MERCHANT GROUP, INC.
October 8, 1997 - December 10, 1997
LEGEND MERCHANT GROUP, INC.
June 6, 1997 - November 7, 1997
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
October 8, 1996 - April 18, 1997
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
