Joseph K. Calhoun
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.
Joseph K Calhoun, CFP®, who also goes by Joe Kelly Calhoun, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2009. Joseph had worked at 4 firms and has passed the Series 66, Series 6TO, 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
Start date: 2019
Experience
June 12, 2012 - January 19, 2024
SYMPHONIC FINANCIAL ADVISORS LLC
June 12, 2012 - January 19, 2024
SYMPHONIC SECURITIES LLC
October 8, 2009 - June 11, 2012
SECURIAN FINANCIAL SERVICES, INC.
September 24, 2009 - June 11, 2012
SECURIAN FINANCIAL SERVICES, INC.
January 1, 2009 - January 9, 2009
NUVEEN SECURITIES, LLC
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
