Joseph R. Linehan

ULLICO INVESTMENT COMPANY

Washington, DC 20006

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CRD#: 4951041

Professional summary

Joseph Richard Linehan is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Washington, District Of Columbia.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Joseph Richard Linehan's CRS (Customer Relationship Summary).

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

Current

November 1, 2005 - Present

ULLICO INVESTMENT COMPANY, LLC

Office #1: 1625 Eye Street, Nw, Washington, DC 20006Office #2: 8403 Colesville Rd. 13th Floor, Silver Spring, MD 20910Office #3: 320 S Canal Street Suite 2925, Chicago, IL 60606

CRD#: 135195

Washington, DC

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/1/2005)

District of Columbia
(11/15/2005)

Illinois
(11/17/2005)

Maryland
(5/19/2014)

Massachusetts
(12/22/2005)

New York
(5/20/2014)

Exams

State Security Law Exam

Series 63

Date: 9/9/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ULLICO INVESTMENT COMPANY, LLC

ULLICO INVESTMENT COMPANY, INC. | ULLICO INVESTMENT COMPANY, LLC

CRD#: 135195 / SEC#: , 8-66906

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910

Mailing Address

8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910

Phone number

(202) 682-0900

Established

Maryland since 07/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ULLICO INC.	SOLE SHAREHOLDER
HUMPHREY, CATHY ANN	CHIEF OPERATIONS OFFICER	4899999
HUMPHREY, CATHY ANN	DIRECTOR	4899999
LAROCQUE, RICHARD FRANCIS	CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC	2874559
LINEHAN, JOSEPH RICHARD	GEN. SEC. PRINC.; AND PRESIDENT	4951041
LINEHAN, JOSEPH RICHARD	DIRECTOR
YU, YINAN	CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR	7787306

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joseph R. Linehan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Richard Linehan's CRS (Customer Relationship Summary).

Certified licenses

Experience

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2005

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2005

Series 24

Date: 9/15/2005

FINRA

Current Firm

ULLICO INVESTMENT COMPANY, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ULLICO INVESTMENT COMPANY, LLC

TRUST BUT VERIFY

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