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JT

Joseph Tierney

RAYMOND JAMES INVESTMENT MANAGEMENT
Minneapolis, MN
Some features on this profile are disabled
CRD#: 6131985
JT

Professional summary

Joseph Tierney, CIMA®, who also goes by Joseph A Tierney, Joseph Anthony Tierney, is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in Minneapolis, Minnesota and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph A Tierney | Joseph Anthony Tierney

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) - RIA

Click below to view Joseph Tierney'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

November 5, 2018 - Present

RAYMOND JAMES INVESTMENT MANAGEMENT

RIA
CRD#: 174904
Minneapolis, MN
Current

November 1, 2018 - Present

CARILLON FUND DISTRIBUTORS, INC.

Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716
BD
CRD#: 139749
St. Petersburg, FL
Past

September 16, 2015 - October 29, 2018

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

December 14, 2012 - October 29, 2018

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Florida
(11/14/2018)
RR
Iowa
(11/1/2018)
RR
Minnesota
(11/1/2018)
IAR
Minnesota
(11/5/2018)
RR
North Dakota
(11/1/2018)
RR
South Dakota
(10/3/2022)
RR
Wisconsin
(11/1/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/8/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/13/2012
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: 5/12/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/13/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)
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Contact information

Main Address
780 Carillon Parkway, St Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St Petersburg, FL 33716
Phone number
(800) 521-1195
Established
Firm type
Fiscal year end
# of Employees
173

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES INVESTMENT MANAGEMENT FORM ADV PART 2 DECEMBER 2024 (12/11/2024)

Regulatory assets under management

Total Number of Accounts5
AUM (Assets Under Management)$ 16,378,977,378

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

RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904Minneapolis, MN

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