Joseph T. Harrell
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 T Harrell, who also goes by Joseph Todd Harrell, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 5 firms and has passed the Series 66, SIE 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
March 31, 2010 - February 11, 2019
VOYA FINANCIAL PARTNERS, LLC
July 2, 2009 - February 25, 2010
NEXT FINANCIAL GROUP, INC.
July 2, 2009 - February 25, 2010
NEXT FINANCIAL GROUP, INC.
July 26, 2007 - July 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2007 - July 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2005 - June 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 2, 2005 - June 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
