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JH

Joseph Halpern

EXCEED ADVISORY LLC
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 4637169
JH

Professional summary

Joseph Halpern is a registered financial advisor currently at EXCEED ADVISORY LLC located in New York, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 79, Series 87, Series 86, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Halpern'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

February 3, 2026 - Present

EXCEED ADVISORY LLC

Office #1: 79 Madison Ave. 3rd Floor, New York, NY 10016
RIA
CRD#: 170403
NEW YORK, NY
Past

February 4, 2025 - December 31, 2025

EXCEED ADVISORY LLC

RIA
CRD#: 170403
NEW YORK, NY
Past

November 15, 2018 - October 1, 2024

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

July 28, 2017 - December 31, 2017

OBSIDIAN CIO, LLC

RIA
CRD#: 289000
EDISON, NJ
Past

April 4, 2017 - January 8, 2026

FOUNTAINHEAD ADVISORS

RIA
CRD#: 156185
WARREN, NJ
Past

May 12, 2014 - November 14, 2018

OMEGA POINT SECURITIES LLC

BD
CRD#: 168935
New York, NY
Past

April 15, 2013 - September 25, 2013

HALPERN CAPITAL, INC.

BD
CRD#: 119895
AVENTURA, FL
Past

February 21, 2007 - April 15, 2010

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

April 10, 2006 - February 22, 2007

KELLOGG CAPITAL GROUP LLC

BD
CRD#: 35032
NEW YORK, NY
Past

May 22, 2003 - April 10, 2006

HALPERN CAPITAL, INC.

BD
CRD#: 119895
JERSEY CITY, NJ
Past

May 9, 2003 - May 27, 2003

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY

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".
EA
EXCEED ADVISORY LLC
EXCEED ADVISORY LLC

CRD#: 170403 / SEC#: 801-79958

RIA
Registered Investment Advisory firm - (7/3/2014 Approved)

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.

Highlighted states indicate IAR registrations

IAR
New York
(2/3/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/3/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/19/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 3/3/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/22/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 55
Date: 3/5/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/17/2013
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2013
General Securities Principal Examination

Current Firm

EA
EXCEED ADVISORY LLC
EXCEED ADVISORY LLC

CRD#: 170403 / SEC#: 801-79958

RIA
Registered Investment Advisory firm - (7/3/2014 Approved)
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Contact information

Main Address
79 Madison Ave. 3rd Floor, New York, NY 10016
Mailing Address
Phone number
(646) 580-7046
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (3 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

EXCEED ADVISORY ADV 2A FEB 19 2026 (2/19/2026)

Regulatory assets under management

Total Number of Accounts92
AUM (Assets Under Management)$ 119,150,346

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

EXCEED ADVISORY LLC

CRD#: 170403New York, NY 10016

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