Tandy L. Joslin
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.
Tandy Lee Joslin, CFP®, who also goes by Tandy Lee Walker, was a registered financial professional .
Tandy is a previously registered financial professional and started their career in finance in 1985. Tandy had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1995
Experience
December 31, 2022 - December 31, 2024
JOSLIN FINANCIAL SERVICES, INC.
January 16, 2018 - December 31, 2022
JOSLIN FINANCIAL SERVICES, INC.
February 16, 2012 - January 16, 2018
SSN ADVISORY, INC.
January 24, 2012 - December 31, 2017
SECURITIES SERVICE NETWORK, LLC
January 19, 2011 - December 31, 2011
CREATIVE FINANCIAL DESIGNS, INC.
January 19, 2011 - December 31, 2011
CFD INVESTMENTS, INC.
October 14, 2010 - January 13, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 17, 2009 - January 13, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 26, 2004 - December 31, 2009
JOSLIN FINANCIAL SERVICES, INC.
June 14, 2004 - November 25, 2009
LPL FINANCIAL LLC
June 4, 2004 - November 25, 2009
LPL FINANCIAL LLC
March 2, 2004 - June 14, 2004
MAIN STREET MANAGEMENT COMPANY
March 2, 2004 - June 14, 2004
MAIN STREET MANAGEMENT COMPANY
October 2, 2001 - March 8, 2004
NATIONAL PLANNING CORPORATION
December 15, 2000 - March 8, 2004
NATIONAL PLANNING CORPORATION
October 5, 1999 - December 15, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 1, 1997 - October 6, 1999
FFP SECURITIES, INC.
March 30, 1989 - April 4, 1997
IDS LIFE INSURANCE COMPANY
March 30, 1989 - April 4, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 1985 - December 21, 1987
N.I.S. FINANCIAL SERVICES, INC.
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
Current Firm
JOSLIN FINANCIAL SERVICES, INC.
CRD#: 291614 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 40 |
| AUM (Assets Under Management) | $ 6,700,000 |
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.
