Joseph CullenCRD Number: 1037004
Current Firm: J.p. Morgan Securities LLC
Joseph Cullen (CRD# 1037004) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Stamford, CT and has over 27 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|J.p. Morgan Securities LLC||Stamford, CT||Oct 2012 - Current||4|
|Chase Investment Services Corp||Stamford, CT||Jul 2009 - Oct 2012||3|
|New England Securities||Waterbury, CT||Jan 2003 - Jul 2009||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1989|
|S65||NASAA Investment Advisors Law Examination||Nov 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV