Joseph Delaney
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 Delaney, who also goes by Joseph W Delaney Mr, Joseph W Delaney, Joseph William Delaney, Joe Delaney, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2006. Joseph had worked at 6 firms and has passed the Series 65, Series 63, 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
October 20, 2023 - April 2, 2026
MUTUAL OF AMERICA SECURITIES LLC
April 28, 2022 - August 9, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 28, 2021 - January 25, 2022
LPL FINANCIAL LLC
November 19, 2012 - October 22, 2019
MUTUAL OF AMERICA SECURITIES LLC
November 19, 2012 - October 22, 2019
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 1, 2008 - April 3, 2009
FIDELITY BROKERAGE SERVICES LLC
April 17, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY 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
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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