AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JM

Joseph Morrissey

RKCA
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 6840903
JM

Professional summary

Joseph Morrissey, who also goes by Joseph Charles Morrissey, is a registered financial professional currently at RKCA, INC. located in Minneapolis, Minnesota.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Charles Morrissey

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 Joseph Morrissey'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

March 29, 2022 - Present

RKCA, INC.

Office #1: 150 South 5th Street Suite 2000, Minneapolis, MN 55402
BD
CRD#: 17655
Minneapolis, MN
Past

January 16, 2019 - March 9, 2021

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
Southlake, TX
Past

October 23, 2017 - March 9, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
Southlake, TX

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
Minnesota
(3/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/11/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RKCA, INC.
RIPPE & KINGSTON CAPITAL ADVISORS, INC. | WINTON ASSOCIATES, INC. | RKCA, INC. | RKCA

CRD#: 17655 / SEC#: , 8-35572

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1077 Celestial Street, Cincinnati, OH 45202
Mailing Address
1077 Celestial Street, Cincinnati, OH 45202
Phone number
(513) 371-5533
Established
Ohio since 01/23/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 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#
BHATTACHARYA, MONODIP SANKARMANAGING DIRECTOR6589221
COMPTON, THOMAS JOHN IIIMANAGING DIRECTOR6535588
RIPPE, BRENT C.MANAGING DIRECTOR & PRESIDENT5253919
WITT, BRANDON DAVIDPRINCIPAL FINANCIAL OFFICER (FINOP); CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER7903608

Disclosures

Regulatory Event2

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

RKCA, INC.

CRD#: 17655Minneapolis, MN 55402

TRUST BUT VERIFY

Monitor Joseph Morrissey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Chad Jonathan Rusten
Chad RustenAdvisorCheck Check Mark
ELEMENT SQUARED PRIVATE WEALTH
IAR
Minneapolis, MN
JD
Janai DeittAdvisorCheck Check Mark
THRIVENT INVESTMENT MANAGEMENT INC.
IAR
RR
McKinney, TX
SS
Steven SchmidtAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
ST. LOUIS PARK, MN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics