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JE

Joseph A. Ethridge

NORTHVIEW ADVISORS LLC
Alpharetta, GA 30004
Some features on this profile are disabled
CRD#: 7198755
JE

Professional summary

Joseph Aubrey Ethridge, who also goes by Aubrey Ethridge, is a registered financial professional currently at NORTHVIEW ADVISORS LLC located in Alpharetta, Georgia.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2021. Joseph has worked at 2 firms and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aubrey Ethridge

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 Aubrey Ethridge's 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 18, 2024 - Present

NORTHVIEW ADVISORS LLC

Office #1: 12220 Birmingham Hwy Bldg 30, Alpharetta, GA 30004
BD
CRD#: 323786
Alpharetta, GA
Past

October 18, 2021 - April 24, 2024

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
SCHAUMBURG, IL

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
Georgia
(3/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 10/18/2021
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 2/18/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NA
NORTHVIEW ADVISORS LLC
NORTHVIEW ADVISORS LLC | NORTHVIEW CAPITAL PARTNERS LLC

CRD#: 323786 / SEC#: , 8-71005

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 Cole St, Austin, TX 78737
Mailing Address
300 Cole St, Austin, TX 78737
Phone number
(512) 599-1766
Established
Texas since 12/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NORTHVIEW CAPITAL PARTNERS LLCMEMBER
AGERTON, DEBORAH LYNNFINOP/PFO4460597
GRANETT, SAMUEL RAYCEO1576291
LINDQUIST, JOHN GERARDCCO/POO1557994

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

NORTHVIEW ADVISORS LLC

CRD#: 323786Alpharetta, GA 30004

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