Joshua A. Sivers
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.
Joshua Alan Sivers, who also goes by Joshua A. Sivers Mr., Joshua A. Sivers, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2004. Joshua had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2009 - December 21, 2017
PENN INVESTMENT ADVISORS, INC.
May 17, 2005 - August 20, 2014
FIRST SAVINGS SECURITIES, INC.
September 2, 2004 - December 8, 2009
AMP ASSET MANAGEMENT, INC.
March 2, 2004 - June 1, 2004
M HOLDINGS SECURITIES, INC.
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
PENN INVESTMENT ADVISORS, INC.
CRD#: 151715 / SEC#: 801-70683
Contact information
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,139 |
| AUM (Assets Under Management) | $ 574,427,667 |
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.
