Joseph P. Farhatt

THE YANKER GROUP

MANCHESTER, MO 63021

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CRD#: 4623647

Professional summary

Joseph Peter Farhatt, who also goes by Joseph P Farhatt, is a registered financial advisor currently at THE YANKER GROUP located in Manchester, Missouri and LPL FINANCIAL LLC located in Manchester, Missouri.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Joseph P Farhatt

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) - RIA

Click below to view Joseph Peter Farhatt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 4, 2016 - Present

THE YANKER GROUP

Office #1: 13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021

RIA

CRD#: 281364

MANCHESTER, MO

Current

October 17, 2011 - Present

LPL FINANCIAL LLC

Office #1: 13611 Barrett Office Dr #100, Manchester, MO 63021

RIA

CRD#: 6413

MANCHESTER, MO

Past

July 8, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

April 19, 2012 - February 12, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

February 18, 2003 - October 21, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SAINT 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".

THE YANKER GROUP

THE YANKER GROUP | THE YANKER GROUP, INC.

CRD#: 281364 / SEC#: 801-118402

RIA

Registered Investment Advisory firm - (4/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (9/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/23/2017)

Arkansas
(10/3/2022)

California
(2/9/2022)

Colorado
(11/18/2021)

Florida
(7/20/2017)

Illinois
(10/17/2011)

Michigan
(4/8/2024)

Missouri
(10/17/2011)

IAR

Missouri
(2/10/2016)

Texas
(10/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE YANKER GROUP

THE YANKER GROUP | THE YANKER GROUP, INC.

CRD#: 281364 / SEC#: 801-118402

RIA

Registered Investment Advisory firm - (4/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (9/13/2021 Terminated)

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Contact information

Main Address

13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021

Mailing Address

Phone number

(314) 962-5600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE - ADV 2A (3/9/2026)

Regulatory assets under management

Total Number of Accounts	732
AUM (Assets Under Management)	$ 296,377,533

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph P. Farhatt

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Peter Farhatt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

THE YANKER GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2012

Series 63

Date: 4/21/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/6/2004

Series 6

Date: 2/14/2003

FINRA

Current Firm

THE YANKER GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE YANKER GROUP

TRUST BUT VERIFY

Contact information

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