Joshua S. Shirey
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 Samuel-oler Shirey, who also goes by Joshua Samuel-oler Shirey, Joshua Shirey, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2013. Joshua had worked at 2 firms and has passed the Series 63, 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
January 17, 2019 - September 10, 2019
TD AMERITRADE, INC.
June 12, 2018 - October 17, 2018
VALIC FINANCIAL ADVISORS, INC.
January 5, 2016 - June 22, 2018
TD AMERITRADE, INC.
July 3, 2013 - June 11, 2014
TD AMERITRADE, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
