Simon P. Joshua
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.
Simon Peter Joshua, who also goes by Simon Joshua, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2018. Simon had worked at 3 firms and has passed the Series 65, Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - January 25, 2023
CORNERSTONE WEALTH PARTNERS, LLC
January 2, 2019 - April 5, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 11, 2018 - April 5, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
CORNERSTONE WEALTH PARTNERS, LLC
CRD#: 146602 / SEC#: 801-129835
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
Series 7TO
Date: 12/11/2018
General Securities Representative ExaminationCurrent Firm
CORNERSTONE WEALTH PARTNERS, LLC
CRD#: 146602 / SEC#: 801-129835
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 12,769,267 |
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.
