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JO

Joseph J. Ossey

CUNA BROKERAGE SERVICES
Parkersburg, IA
CRD#: 5551907
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JO
Joseph John OsseyCUNA BROKERAGE SERVICES

Professional summary

Joseph John Ossey, AIF®, who also goes by Joseph J Ossey, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Parkersburg, Iowa.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 16 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph J Ossey

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 Joseph John Ossey's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

Experience

Current

April 27, 2026 - Present

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Parkersburg, IA
Past

January 3, 2025 - June 9, 2025

WELLTH ADVISORY SERVICES, LLC

RIA
CRD#: 330537
Plainfield, IL
Past

May 20, 2024 - June 6, 2024

CAPTRUST

RIA
CRD#: 175112
Plainfield, IL
Past

May 10, 2022 - February 27, 2024

WINTRUST INVESTMENTS LLC

RIA
CRD#: 875
CHICAGO, IL
Past

May 3, 2022 - February 27, 2024

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
CHICAGO, IL
Past

October 8, 2019 - January 31, 2022

ASCENSUS INVESTMENT ADVISORS, LLC

RIA
CRD#: 120632
ELGIN, IL
Past

September 6, 2018 - January 31, 2022

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

July 20, 2017 - May 10, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Elgin, IL
Past

July 20, 2017 - May 10, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

December 19, 2016 - June 16, 2017

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Schaumburg, IL
Past

December 19, 2016 - June 16, 2017

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Schaumburg, IL
Past

September 29, 2014 - October 5, 2016

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DOWNERS GROVE, IL
Past

September 29, 2014 - October 5, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DOWNERS GROVE, IL
Past

July 11, 2014 - August 22, 2014

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
CHICAGO, IL
Past

July 11, 2014 - August 22, 2014

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
CHICAGO, IL
Past

February 24, 2012 - July 1, 2014

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DOWNERS GROVE, IL
Past

February 14, 2012 - July 1, 2014

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DOWNERS GROVE, IL
Past

October 13, 2011 - February 1, 2012

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
DOWNERS GROVE, IL
Past

July 22, 2010 - September 26, 2011

MORGAN STANLEY

RIA
CRD#: 149777
LISLE, IL
Past

December 3, 2009 - September 26, 2011

MORGAN STANLEY

BD
CRD#: 149777
LISLE, IL
Past

November 26, 2008 - November 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LISLE, IL
Past

October 2, 2008 - November 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LISLE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Illinois
(4/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CB
CUNA BROKERAGE SERVICES, INC.
CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS

CRD#: 13941 / SEC#: 801-60099, 8-30027

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
2000 Heritage Way, Waverly, IA 50677
Mailing Address
2000 Heritage Way, Waverly, IA 50677
Phone number
(319) 352-4090
Established
Wisconsin since 05/11/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
716

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CBSI WRAP FEE BROCHURE 3-2022 (3/31/2022)
CBSI FORM ADV 2A 3-2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
CUNA MUTUAL INVESTMENT CORPORATIONOWNER
BARBATO, PAUL DAMIENSENIOR VICE PRESIDENT7064310
BOAN, JOSEPH SALVATOREPRESIDENT/DIRECTOR2379993
BROCK, JENNY MARIETREASURER6654483
COPELAND, CHRISTOPHER JUDDDIRECTOR6437117
HABERSTICH, MELISSA MCHIEF COMPLIANCE OFFICER4190838
KARLS, WILLIAM ANTONDIRECTOR6847792
POPPE, CHRISTINE ELIZABETHLICENSING OFFICER4080909
SCHULTZ, TAMMY LYNNDIRECTOR7991087
THOMAS, BARTH TSECRETARY/DIRECTOR2849100

Regulatory assets under management

Total Number of Accounts20,233
AUM (Assets Under Management)$ 5,790,352,615

Disclosures

Regulatory Event5
Arbitration6

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.

Company Information

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941Parkersburg, IA

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