Joshua I. Hersh
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 Ian Hersh was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2009. Joshua had worked at 4 firms and has passed the Series 66, SIE, Series 31 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
January 25, 2016 - February 22, 2019
PURSHE KAPLAN STERLING INVESTMENTS
January 12, 2016 - March 18, 2019
SMITH ANGLIN FINANCIAL, LLC
April 24, 2012 - May 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2012 - May 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2009 - October 26, 2011
MORGAN STANLEY
October 12, 2009 - October 26, 2011
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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