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Joseph L Harman

CRD# 5586618·Registered 2008 - 2025
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph L Harman was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 2008 - 2025. Joseph had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Fairhope, AL
February 9, 2017 - April 30, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Fairhope, AL
October 13, 2008 - April 30, 2025

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1) Harman Investment LLC~'NIR'~3985 NW Highland Drive~Corvallis~OR~97330~Rental Property Owner/Management~Partner/General Partner~12/1/1999~40hrs~24hrs~I am a Limited Liability Company Member. I provide accounting, consulting and income tax services to this company through my CPA practice. 2) Joseph L. Harman,CPA~'NIR'~3985 NW Highland Dr~Corvallis~OR~97330~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/2001~150hrs~80hrs~I provide tax return, audit, accounting and consulting services to customers on a contract basis. 3) AMERICAN LEGION POST 199 FAIRHOPE ALABAMA; POSITION: Finance Officer NATURE: I oversee financial matters for the Post. This consists of overseeing accounting, banking and finance activities for the Post. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022; 700 South Mobile Street, Fairhope AL 36532, I am responsible for making sure all funds of the Post are properly accounted for. I am also responsible for making sure the Post files appropriate information and tax returns. 4)RENTAL - MCNARY 20 POSITION: Owner NATURE: Vacation rental. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/21/2011 ADDRESS: 6333 Saddle Wood Lane, Fairhope AL 36532, United States DESCRIPTION: Vacation rental owner. 5) CONDO POSITION: Owner NATURE: Condo vacation rental. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/07/2023 ADDRESS: 6333 Saddle Wood Lane, Fairhope AL 36532, United States DESCRIPTION: We own a condo at Gulf Shores Alabama as investment property. We rent it out for extra income.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2008About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2008About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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