Joseph A. Shabrack
Professional summary
Joseph Anthony Shabrack, who also goes by Joe Shabrack, is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Shabrack's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2022 - Present
PHX FINANCIAL, INC.
Office #1: 100 Wall Street Floor 10, New York, NY 10005July 27, 2009 - November 2, 2009
J.P. TURNER & COMPANY, L.L.C.
November 7, 2008 - July 17, 2009
TD AMERITRADE, INC.
October 2, 2006 - November 24, 2008
NATIONAL SECURITIES CORPORATION
March 23, 2006 - October 10, 2006
HSBC SECURITIES (USA) INC.
October 25, 2005 - March 7, 2006
TD WEALTH MANAGEMENT SERVICES 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
(1/24/2025)
(3/14/2023)
(10/25/2022)
(2/3/2023)
(5/1/2024)
(2/13/2023)
(2/27/2023)
(1/9/2025)
(2/19/2025)
(3/8/2023)
(2/2/2023)
(6/27/2024)
(2/27/2023)
(7/1/2025)
(6/30/2023)
(4/17/2023)
(10/25/2022)
(10/25/2022)
(2/22/2023)
(4/17/2023)
(2/9/2024)
(10/25/2022)
(10/25/2022)
(11/19/2024)
(7/18/2024)
(3/13/2023)
Exams
Series 7TO
Date: 10/10/2022
General Securities Representative ExaminationFINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
