Joel M. Johnson

HARBOR FUNDS DISTRIBUTORS

Paoli, PA

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CRD#: 5268693

Professional summary

Joel Michael David Johnson is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2007. Joel has worked at 6 firms and has passed the Series 63, SIE and Series 7 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 Joel Michael David Johnson'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

October 17, 2025 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

Paoli, PA

Past

November 9, 2022 - October 15, 2025

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

August 2, 2017 - November 1, 2022

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

SAN FRANCISCO, CA

Past

April 17, 2012 - April 16, 2015

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

October 4, 2010 - July 20, 2011

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

SAN FRANCISCO, CA

Past

May 14, 2007 - June 2, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

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

Alabama
(10/17/2025)

Alaska
(10/22/2025)

Arizona
(10/22/2025)

Arkansas
(10/22/2025)

California
(10/17/2025)

Colorado
(10/20/2025)

Connecticut
(10/20/2025)

Delaware
(10/20/2025)

District of Columbia
(10/21/2025)

Florida
(10/20/2025)

Georgia
(10/20/2025)

Hawaii
(10/20/2025)

Idaho
(10/17/2025)

Illinois
(10/27/2025)

Indiana
(10/21/2025)

Iowa
(10/20/2025)

Kansas
(10/17/2025)

Kentucky
(10/17/2025)

Louisiana
(10/21/2025)

Maine
(10/17/2025)

Maryland
(10/21/2025)

Massachusetts
(10/20/2025)

Michigan
(10/21/2025)

Minnesota
(10/17/2025)

Mississippi
(10/21/2025)

Missouri
(10/20/2025)

Montana
(10/22/2025)

Nebraska
(10/17/2025)

Nevada
(10/20/2025)

New Hampshire
(10/21/2025)

New Mexico
(10/20/2025)

New York
(10/19/2025)

North Carolina
(10/21/2025)

North Dakota
(10/20/2025)

Ohio
(10/17/2025)

Oklahoma
(10/20/2025)

Oregon
(10/20/2025)

Pennsylvania
(10/20/2025)

Puerto Rico
(10/23/2025)

Rhode Island
(10/20/2025)

South Carolina
(10/28/2025)

South Dakota
(10/17/2025)

Tennessee
(10/20/2025)

Texas
(10/21/2025)

Utah
(10/20/2025)

Vermont
(10/17/2025)

Virgin Islands
(10/22/2025)

Virginia
(10/21/2025)

Washington
(10/17/2025)

West Virginia
(10/23/2025)

Wisconsin
(10/20/2025)

Wyoming
(10/20/2025)

Exams

State Security Law Exam

Series 63

Date: 11/17/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

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

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Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Mailing Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Phone number

(312) 443-4420

Established

Delaware since 02/21/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HARBOR CAPITAL ADVISORS, INC.	SHAREHOLDER
HALABY, JOHN STEVE	PRESIDENT AND DIRECTOR	2543904
KUNKEL, JACOB JEFFREY	CHIEF FINANCIAL OFFICER AND TREASURER	6108628
MCCAIN, CHARLES FREDERICK	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4865638
NEE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	4968097

Red Flags

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

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Joel M. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Michael David Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR FUNDS DISTRIBUTORS, INC.

NORTHERN TRUST SECURITIES, INC.

HARTFORD FUNDS DISTRIBUTORS, LLC

BLACKROCK INVESTMENTS, LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2017

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2007

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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