Joseph Halpern
Professional Summary
Joseph Halpern is a registered financial advisor currently at EXCEED ADVISORY LLC located in New York, New York and OBSIDIAN CIO 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
FOUNTAINHEAD AM, LLC | OBSIDIAN CIO, LLC | OBSIDIAN CIO LLC
Contact Information
Main Address
245 5th Avenue 5th Floor, New York, NY 10016Phone Number
(917) 403-2622# of Employees
6SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$1,284,027,815Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FOUNTAINHEAD AM, LLC | OBSIDIAN CIO, LLC | OBSIDIAN CIO LLC
State Registrations and Notice Filings
(2/3/2026)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2013About the Series 79 examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2003Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Halpern's CRS (Customer Relationship Summary).
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