Joel Triemstra
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.
Joel Triemstra, who also goes by Joel M Triemstra, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1987. Joel had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 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
Experience
September 20, 2021 - October 1, 2024
CADARET, GRANT & CO., INC.
April 28, 2014 - September 20, 2021
SECURITIES AMERICA, INC.
August 17, 2012 - April 30, 2014
PARKLAND SECURITIES, LLC
April 17, 2007 - August 13, 2012
BROKERSXPRESS LLC
May 8, 2003 - March 12, 2007
LPL FINANCIAL LLC
June 25, 2001 - December 6, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
November 30, 1998 - December 31, 2000
CETERA INVESTMENT SERVICES LLC
May 27, 1998 - November 3, 1998
RYAN & COMPANY, LP
March 17, 1997 - March 4, 1998
VOYA FINANCIAL ADVISORS, INC.
February 28, 1995 - December 31, 1996
LOCUST STREET SECURITIES, INC.
May 2, 1988 - April 20, 1994
CAL FED INVESTMENTS
November 27, 1987 - May 31, 1988
MARKETING ONE SECURITIES, 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
