Joshua R. Yafa
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 Robert Yafa, who also goes by Josh Yafa, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2007. Joshua had worked at 7 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
January 27, 2022 - July 7, 2023
WELLINGTON FUNDS DISTRIBUTORS INC.
June 27, 2012 - February 11, 2020
THORNBURG INVESTMENT MANAGEMENT INC
June 26, 2012 - February 11, 2020
THORNBURG SECURITIES LLC
July 12, 2011 - May 29, 2012
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
November 20, 2008 - April 8, 2011
BARCLAYS CAPITAL INC.
October 31, 2008 - April 8, 2011
BARCLAYS CAPITAL INC.
September 19, 2008 - November 10, 2008
UBS FINANCIAL SERVICES INC.
September 19, 2008 - November 10, 2008
UBS FINANCIAL SERVICES INC.
October 2, 2007 - October 2, 2008
LEHMAN BROTHERS INC.
September 26, 2007 - October 2, 2008
LEHMAN BROTHERS 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
Exams
Current Firm
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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.
