Joseph D. Haley
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.
Joseph Daniel Haley, who also goes by Joseph Haley, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2012. Joseph had worked at 4 firms and has passed the Series 66, SIE 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
March 8, 2017 - July 2, 2018
SILICON PRIVATE WEALTH, LLC
May 2, 2016 - March 10, 2017
HARRISDIRECT LLC
May 2, 2016 - March 10, 2017
E*TRADE SECURITIES LLC
February 20, 2013 - April 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2012 - April 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SILICON PRIVATE WEALTH, LLC
CRD#: 284145 / SEC#: 801-129958
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SILICON PRIVATE WEALTH, LLC
CRD#: 284145 / SEC#: 801-129958
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 325 |
| AUM (Assets Under Management) | $ 150,584,750 |
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.
