Joshua S. Harkey
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 Stephen Harkey, who also goes by Joshua S Harkey, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2007. Joshua had worked at 5 firms and has passed the Series 63, Series 65, 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
March 20, 2019 - March 6, 2023
OSAIC INSTITUTIONS, INC.
July 19, 2017 - March 20, 2019
OSAIC INSTITUTIONS, INC.
January 8, 2015 - February 26, 2015
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 28, 2011 - October 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2011 - October 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2009 - August 31, 2011
CHASE INVESTMENT SERVICES CORP.
November 23, 2009 - August 31, 2011
CHASE INVESTMENT SERVICES CORP.
January 22, 2009 - October 5, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2009 - October 5, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2007 - October 22, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2007 - October 22, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
