Joshua A. Blum
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 Aaron Blum was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2006. Joshua had worked at 4 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
November 21, 2007 - January 23, 2018
AST INVESTMENT SERVICES, INC.
November 21, 2007 - January 23, 2018
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 4, 2006 - November 7, 2007
EQUITABLE ADVISORS, LLC
June 6, 2006 - November 7, 2007
EQUITABLE ADVISORS, LLC
May 11, 2006 - May 25, 2006
WADDELL & REED
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
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.
