Joseph B. Rhame

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CRD#: 4676211

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Burns Rhame III, who also goes by Joseph Burns Rhame, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 2 firms and has passed the SIE, Series 87, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Burns Rhame

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 9, 2005 - April 22, 2019

W. H. REAVES & CO., INC.

CRD#: 3140

JERSEY CITY, NJ

Past

November 11, 2004 - March 7, 2005

WESTROCK ADVISORS, INC.

CRD#: 114338

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".

W. H. REAVES & CO., INC.

REAVES ASSET MANAGEMENT | W. H. REAVES ASSET MANAGEMENT | W. H. REAVES & CO., INC.

CRD#: 3140 / SEC#: 801-13457, 8-22142

RIA

Registered Investment Advisory firm - SEC (10/1/1977 Approved)

Terminated by SEC on 04/21/2019

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/6/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 4/11/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/10/2004

General Securities Representative Examination

Current Firm

W. H. REAVES & CO., INC.

REAVES ASSET MANAGEMENT | W. H. REAVES ASSET MANAGEMENT | W. H. REAVES & CO., INC.

CRD#: 3140 / SEC#: 801-13457, 8-22142

RIA

Registered Investment Advisory firm - SEC (10/1/1977 Approved)

Terminated by SEC on 04/21/2019

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Contact information

Main Address

10 Exchange Place 18th Floor, Jersey City, NJ, 07302

Mailing Address

Phone number

(201) 332-4596

Established

Delaware since 09/02/1977

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REAVES ASSET MANAGEMENT - ADV PART 2A - 02/11/2025 (2/11/2025)

Direct owners and executive officers

Name	Position	CRD#
BARTLETT, JOHN PRENTISS	VICE PRESIDENT	2248307
CIMINO, LOUIS FRANCISCO	VICE PRESIDENT, CHIEF OPERATING OFFICER, TREASURER	1596549
FERER, WILLIAM AVRUM	PRESIDENT	824052
SORENSON, RONALD JAMES	CHAIRMAN	2218479
PORTER, TIMOTHY OTTAVIANO	VICE PRESIDENT	2512256
RHAME, JOSEPH BURNS III	CEO	4676211
PASS, DAVID MARC	VICE PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER, CFO, MUNICIPAL SECURITIES PRINCIPAL	1041996
WEEKS, BRIAN WALLACE	VICE PRESIDENT	4679843
WILHELM, ROWLAND OTTO JR	VICE PRESIDENT	2368027

Regulatory assets under management

Total Number of Accounts	300
AUM (Assets Under Management)	$ 4,092,180,109

Disclosures

Regulatory Event

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.

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Joseph B. Rhame

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTROCK ADVISORS, INC.

Primary Firm SEC Registration

W. H. REAVES & CO., INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 87

Date: 3/6/2008

Series 55

Date: 4/11/2005

Series 7

Date: 11/10/2004

Current Firm

W. H. REAVES & CO., INC.

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

W. H. REAVES & CO., INC.

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