Joy M. Walker
Professional summary
Joy Maurine Walker, who also goes by Joy M. Harbaugh, Joy Maurine Harbaugh, is a registered financial advisor currently at ASSETMARK, INC. located in Sarasota, Florida and ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.
Joy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Joy has 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) - RIA
Click below to view Joy Maurine Walker's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2021 - Present
ASSETMARK, INC.
January 14, 2021 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426December 2, 2016 - August 14, 2020
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
August 22, 2016 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/14/2021)
(3/23/2021)
Exams
FINRA
Current Firm
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 410,749 |
| AUM (Assets Under Management) | $ 77,412,781,198 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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