Joel G. Herter
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 George Herter, who also goes by Joe Herter, Joel G Herter, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1993. Joel had worked at 4 firms and has passed the Series 65, Series 63, 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
June 20, 2001 - December 31, 2007
WOLF FINANCIAL MANAGEMENT, LLC
December 26, 2000 - December 31, 2012
WOLF FINANCIAL MANAGEMENT, LLC
August 17, 1998 - December 31, 2012
WOLF FINANCIAL MANAGEMENT, LLC
March 12, 1998 - June 3, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 11, 1994 - December 31, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 15, 1993 - May 10, 1994
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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.
