Joseph M. Hall
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 Michael Hall was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - September 5, 2017
CBIZ FINANCIAL SOLUTIONS, INC.
December 2, 2005 - September 5, 2017
CBIZ FINANCIAL SOLUTIONS, INC.
November 29, 2004 - August 23, 2005
HAYDEN HARPER FINANCIAL, LLC
February 3, 2004 - December 31, 2004
HAYDEN HARPER FINANCIAL, INC.
Primary Firm SEC Registration
CBIZ FINANCIAL SOLUTIONS, INC.
CRD#: 16678 / SEC#: 801-56332, 8-34205
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CBIZ FINANCIAL SOLUTIONS, INC.
CRD#: 16678 / SEC#: 801-56332, 8-34205
Contact information
SEC notice filing (26 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 23,881,016 |
Disclosures
| Regulatory Event | 2 |
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.
