Joe B. Hall
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.
Joe Bryan Hall was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1977. Joe had worked at 15 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2021 - April 13, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 5, 2021 - April 13, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 24, 2017 - April 6, 2021
BFC PLANNING, INC.
July 31, 2006 - April 6, 2021
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 31, 2006 - April 6, 2021
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 17, 2002 - August 30, 2006
HALL, HODGES & ASSOCIATES, INC.
December 31, 1997 - August 3, 2006
LPL FINANCIAL LLC
August 4, 1994 - August 3, 2006
LPL FINANCIAL LLC
November 30, 1992 - August 25, 1994
FIVE STAR RESOURCES, INC.
February 12, 1988 - July 17, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
November 16, 1982 - October 16, 1987
GRIFFIN FINANCIAL SERVICES
February 22, 1982 - August 25, 1982
CHARLES SCHWAB & CO., INC.
November 16, 1978 - March 31, 1982
LETTERMAN TRANSACTION SERVICES, INC.
May 9, 1978 - November 30, 1978
THOMSON MCKINNON SECURITIES INC.
January 13, 1978 - May 7, 1978
UMIC, INC.
December 5, 1977 - January 19, 1978
MARCUS, STOWELL & BEYE, INC.
March 1, 1977 - November 25, 1977
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
