JH
Joseph Halpern
FOUNTAINHEAD ADVISORS
Warren, NJ 07059
Some features on this profile are disabled
CRD#: 4637169
JH
Professional summary
Joseph Halpern is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in Warren, New Jersey and 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.
1. EXCEED ADVISORS/INVESTMENTS REGISTERED INVESTMENT ADVISOR 70 E. 96th Street #8A, New York, N.Y. 10128 CEO - 10 - 15 HRS/WRK, NY 10016EEK; 2. FOUNTAINHEAD CAPITAL MANAGEMENT LLC AND FOUNTAINHEAD AM ("FAM")/FOUNTAINHEAD RETIRMENT SERVICES/FOUNTAINHEAD PROTECTION SERVICES INVESTMENT RELATED 10 Independence Blvd. Suite 120 Warren, N.J 07059 POSITION: CIO START DATE: 3/28/2017 40 - 60 HRS/MONTH DUTIES: GENERAL CIO RELATED ACTIVITY INCLUDING CREATION OF MODEL ALLOCATIONS AND FUND SELECTION. ; 4. VOLOS PORTFOLIO SOLUTIONS LLC ONE BOSTON PLACE, STE 2600 BOSTON, MA FINANCIAL TECHNOLOGY COMPANY CONSULTANT MARCH - 2017 1 - 2 HOURS/MONTH; ADVISE COMPANY ON THEIR DERIVATIVE BASED TECHNOLOGY. ASSIST IN MAKING INTRODUCTIONS TO OTHERS IN THE INDUSTRY. ; 5. OMEGA POINT RESEARCH, INC., /JH OMPNT, LLC 548 MARKET STREET #48662, SAN FRANCISCO, CA 94104, FINTECH, INVESTMENT RELATED BUSINESS, CONSULTANT, ASSIST IN THE DEVELOPMENT OF RETAIL INVESTMENT PRODUCTS MAY 1, 2018, 5 HOURS PER WEEK, MAY WORK, HOLD MEETINGS, ETC. DURING NORMAL BUSINESS HOURS. Expert Witness Consulting (via self and JH Consulting LLC) Penn Mutual Insurance Agent
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Halpern's 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®
NoneExperience
Current
April 4, 2017 - Present
FOUNTAINHEAD ADVISORS
Office #1: 10 Independence Blvd Suite 120, Warren, NJ 07059RIA
CRD#: 156185
Warren, NJ
Current
February 4, 2025 - Present
EXCEED ADVISORY LLC
Office #1: 79 Madison Ave. 3rd Floor, New York, NY 10016RIA
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
FOUNTAINHEAD AM, LLC
RIA
CRD#: 289000
EDISON, 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".
FA
FOUNTAINHEAD ADVISORS
ABRAHAMSENROCK, LLC | ROCK, MARC B. | FOUNTAINHEAD PRIVATE WEALTH | FOUNTAINHEAD CAPITAL, LLC | FOUNTAINHEAD CAPITAL MANAGEMENT, LLC | FOUNTAINHEAD ADVISORS | EPIC ADVISORY PARTNERS
CRD#: 156185 / SEC#: 801-79472
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)Florida
Registered Investment Advisory firm - (4/9/2014 Terminated)New York
Registered Investment Advisory firm - (4/9/2014 Terminated)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 Jersey(4/4/2017)
IAR
New York(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/5/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FA
FOUNTAINHEAD ADVISORS
ABRAHAMSENROCK, LLC | ROCK, MARC B. | FOUNTAINHEAD PRIVATE WEALTH | FOUNTAINHEAD CAPITAL, LLC | FOUNTAINHEAD CAPITAL MANAGEMENT, LLC | FOUNTAINHEAD ADVISORS | EPIC ADVISORY PARTNERS
CRD#: 156185 / SEC#: 801-79472
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)Florida
Registered Investment Advisory firm - (4/9/2014 Terminated)New York
Registered Investment Advisory firm - (4/9/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Independence Blvd Suite 120, Warren, NJ 07059
Mailing Address
Phone number
(732) 346-1900
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,733 |
| AUM (Assets Under Management) | $ 1,019,956,144 |
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.
