Joseph Sperling
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.
Joseph Sperling, who also goes by Joe Sperling, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2010 - March 15, 2012
WEALTH PLANNING CONCEPTS, LLC
April 20, 2010 - July 27, 2011
GROVE POINT INVESTMENTS, LLC
July 23, 1997 - December 21, 2000
AMERITAS INVESTMENT COMPANY, LLC
February 15, 1994 - February 14, 1997
EQUITY 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
WEALTH PLANNING CONCEPTS, LLC
CRD#: 152664 / SEC#: 801-70997
Contact information
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.
