Joseph M. Shimko
Professional summary
Joseph Michael Shimko JR. was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph Michael Shimko JR., who also goes by Joe Michael Shimko, Joe Shimko, Joseph Michael Shimko Jr, Joseph Michael Shimko, Joseph Michael Shimko Jr, Joseph Michael Shimko Jr, Joseph Shimko, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2003. Joseph had worked at 8 firms and has passed the Series 66, SIE 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
June 29, 2017 - December 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2017 - December 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2013 - July 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2013 - July 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 1, 2010 - August 12, 2013
PNC WEALTH MANAGEMENT LLC
March 15, 2010 - August 12, 2013
PNC WEALTH MANAGEMENT LLC
January 21, 2010 - March 5, 2010
LPL FINANCIAL LLC
January 15, 2010 - March 5, 2010
LPL FINANCIAL LLC
January 25, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
January 16, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
April 2, 2007 - January 3, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 3, 2008
MORGAN STANLEY & CO. LLC
July 12, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
July 8, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
February 5, 2003 - July 27, 2005
CITIGROUP GLOBAL MARKETS INC.
January 8, 2003 - July 27, 2005
CITIGROUP GLOBAL MARKETS 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.
