JS
Joseph M. Sroka
NOVAPOINT CAPITAL LLC
ATLANTA, GA 30361
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CRD#: 2281069
JS
Professional summary
Joseph Michael Sroka, who also goes by Joseph M Sroka, is a registered financial advisor currently at NOVAPOINT CAPITAL LLC located in Atlanta, Georgia.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joseph has worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph M Sroka
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.
OWNER, THE ALGORQUIN COMPANY, LLC, 4685 E CONWAY DR. NW, ATLANTA, GA 30327
CONSULTING - NON-INVESTMENT RELATED - APPROXIMATELY 10 HOURS A MONTH IS SPENT ON THIS BUSINESS; NO TIME IS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Sroka'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®
NoneExperience
Current
June 1, 2015 - Present
NOVAPOINT CAPITAL LLC
Office #1: 1175 Peachtree St Ne Suite 1825, Atlanta, GA 30361RIA
CRD#: 173663
ATLANTA, GA
Past
July 14, 2014 - November 16, 2015
SPECTRUM ADVISORY SERVICES INC.
RIA
CRD#: 107741
ATLANTA, GA
Past
March 21, 2006 - March 13, 2007
FIRST DOMINION CAPITAL CORP.
BD
CRD#: 16330
RICHMOND, VA
Past
June 30, 1999 - February 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 25, 1997 - June 8, 1999
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
November 13, 1992 - September 5, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NOVAPOINT CAPITAL LLC
COBALT ADVISORY NETWORK LLC | NOVAPOINT CAPITAL LLC
CRD#: 173663 / SEC#: 801-116881
RIA
Registered Investment Advisory firm - (7/1/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2018 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Texas
Registered Investment Advisory firm - (7/25/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Georgia(6/1/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
NC
NOVAPOINT CAPITAL LLC
COBALT ADVISORY NETWORK LLC | NOVAPOINT CAPITAL LLC
CRD#: 173663 / SEC#: 801-116881
RIA
Registered Investment Advisory firm - (7/1/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2018 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Texas
Registered Investment Advisory firm - (7/25/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1175 Peachtree St Ne Suite 1825, Atlanta, GA 30361
Mailing Address
Phone number
(404) 445-7885
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 695 |
| AUM (Assets Under Management) | $ 437,278,227 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Georgia | ERA - Withdrawn | 3/11/2015 |
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.
