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AJ

Aloysius C. Joseph

PURSHE KAPLAN STERLING INVESTMENTS
Oakwood Village, OH 44146
Some features on this profile are disabled
CRD#: 5710588
AJ

Professional summary

Aloysius C Joseph, who also goes by Aj Joseph, Aloysius Joseph, Aloysius C Joseph, Aloysius Chemmalakuzhy Joseph, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Oakwood Village, Ohio.

Aloysius is registered as a RR (Registered Representative) and started their career in finance in 2009. Aloysius has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aj Joseph | Aloysius Joseph | Aloysius C Joseph | Aloysius Chemmalakuzhy Joseph

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 Aloysius C Joseph'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®
None

Experience

Current

January 10, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 21891 Forbes Road, Oakwood Village, OH 44146
BD
CRD#: 35747
Oakwood Village, OH
Past

December 23, 2020 - September 30, 2024

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Oakwood Village, OH
Past

November 13, 2018 - January 7, 2019

ARBOR POINT ADVISORS

RIA
CRD#: 165127
OAKWOOD VILLAGE, OH
Past

November 12, 2018 - January 7, 2019

SECURITIES AMERICA, INC.

BD
CRD#: 10205
INDEPENDENCE, OH
Past

March 1, 2018 - October 16, 2018

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
Oakwood Village, OH
Past

July 20, 2017 - January 8, 2018

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
CLEVELAND, OH
Past

March 25, 2017 - June 19, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
BROADVIEW HEIGHTS, OH
Past

March 25, 2017 - June 19, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BROADVIEW HEIGHTS, OH
Past

February 3, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
BROADVIEW HEIGHTS, OH
Past

November 19, 2009 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
BROADVIEW HEIGHTS, OH

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
Ohio
(1/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/2011
Uniform Securities Agent 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: 12/6/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/18/2009
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Oakwood Village, OH 44146

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