Joe C. Forlines
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.
Joe Charlesclifton Forlines IV, who also goes by Joe C Forlines, Joe C Forlines IV, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1997. Joe had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - July 27, 2021
PRINCIPAL ASSET MANAGEMENT
May 7, 2018 - October 23, 2018
PRINCIPAL SECURITIES, INC.
May 7, 2018 - July 27, 2021
PRINCIPAL SECURITIES, INC.
May 7, 2018 - July 27, 2021
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 10, 2011 - May 3, 2018
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
February 8, 2011 - May 3, 2018
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 5, 2005 - January 20, 2011
ADP BROKER-DEALER, INC.
June 3, 2003 - December 9, 2003
AMFIN INVESTMENT SERVICES, INC.
June 3, 2003 - December 9, 2003
AMFIN INVESTMENT SERVICES, INC.
August 13, 2001 - June 3, 2003
UBS FINANCIAL SERVICES INC.
June 29, 2001 - June 3, 2003
UBS FINANCIAL SERVICES INC.
February 18, 1997 - July 11, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
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: 3/1/2024
General Securities Representative ExaminationCurrent Firm
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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.
