Joel R. Smolen
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 Richard Smolen, who also goes by Joe Smolen, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1998. Joel had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2015 - April 8, 2016
TESSARA FINANCIAL ADVISORS, INC.
January 24, 2001 - September 17, 2014
AXION CAPITAL MANAGEMENT, LLC
December 2, 1999 - December 17, 2007
SMOLEN CAPITAL MANAGEMENT
February 2, 1998 - December 13, 1999
FOOTHILL 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
TESSARA FINANCIAL ADVISORS, INC.
CRD#: 113010 / SEC#: 801-118106
Contact information
Regulatory assets under management
| Total Number of Accounts | 159 |
| AUM (Assets Under Management) | $ 186,803,600 |
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.
