Joseph G. Horak
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 Gerard Horak, who also goes by Joe Gerard Horak, Joe Horak, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2018. Joseph had worked at 6 firms and has passed the Series 66, 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
December 22, 2021 - August 8, 2024
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
March 12, 2021 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
October 10, 2019 - December 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
September 26, 2018 - December 31, 2021
QUASAR DISTRIBUTORS, LLC
April 13, 2018 - August 23, 2018
EATON VANCE MANAGEMENT
January 16, 2018 - August 23, 2018
EATON VANCE DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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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