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JL

Joseph A. Likens

Some features on this profile are disabled
CRD#: 3084903
JL

Professional summary

Joseph Alan Likens 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 advisor and started their career in finance in 1998. Prior to being barred, Joseph had worked at 8 firms, which includes CORNERSTONE WEALTH MANAGEMENT LLC, LPL FINANCIAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, EDWARD JONES.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Likens

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.
The advisor shows no other business activity.

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

January 15, 2015 - June 12, 2015

CORNERSTONE WEALTH MANAGEMENT, LLC

RIA
CRD#: 164666
ST. PETERS, MO
Past

January 8, 2015 - May 26, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
DES PERES, MO
Past

June 1, 2009 - January 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHESTERFIELD, MO
Past

April 17, 2009 - April 17, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHESTERFIELD, MO
Past

April 17, 2009 - January 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHESTERFIELD, MO
Past

April 2, 2007 - April 20, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHESTERFIELD, MO
Past

April 2, 2007 - April 20, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHESTERFIELD, MO
Past

March 4, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHESTERFIELD, MO
Past

March 4, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHESTERFIELD, MO
Past

July 1, 2003 - March 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHESTERFIELD, MO
Past

July 1, 2003 - March 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 3, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
CHESTERFIELD, MO
Past

March 16, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 20, 1998 - March 20, 2001

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
CW
CORNERSTONE WEALTH MANAGEMENT, LLC
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC

CRD#: 164666 / SEC#: 801-76973

RIA
Registered Investment Advisory firm - (8/15/2012 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
RR
IAR
Series 66
Date: 5/28/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/20/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1998
General Securities Representative Examination

Current Firm

CW
CORNERSTONE WEALTH MANAGEMENT, LLC
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC

CRD#: 164666 / SEC#: 801-76973

RIA
Registered Investment Advisory firm - (8/15/2012 Approved)
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Contact information

Main Address
7417 Mexico Road Suite 104, St. Peters, MO 63376
Mailing Address
Phone number
(636) 397-6200
Established
Firm type
Fiscal year end
# of Employees
139

SEC notice filing (43 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

FORM ADV PART 2A APPENDIX 1 MANAGED ASSET PROGRAM (4/8/2025)
FORM ADV PART 2A - FIRM BROCHURE (4/8/2025)

Regulatory assets under management

Total Number of Accounts18,813
AUM (Assets Under Management)$ 4,082,513,557

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

CORNERSTONE WEALTH MANAGEMENT, LLC

CRD#: 164666

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