Joel T. Wing
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 Timothy Wing was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1998. Joel had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 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
October 18, 2022 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 17, 2022 - May 11, 2024
TD AMERITRADE, INC.
September 28, 2021 - May 28, 2026
CHARLES SCHWAB & CO., INC.
September 23, 2021 - May 28, 2026
CHARLES SCHWAB & CO., INC.
December 8, 2016 - October 20, 2021
TD AMERITRADE, INC.
December 8, 2016 - October 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 7, 2016 - October 20, 2021
TD AMERITRADE, INC.
April 22, 2015 - July 20, 2015
WEALTHPLAN PARTNERS
April 21, 2015 - July 23, 2015
LPL FINANCIAL LLC
July 22, 2013 - April 27, 2015
WADDELL & REED
July 16, 2013 - April 27, 2015
WADDELL & REED
February 23, 2007 - July 16, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 22, 2006 - July 16, 2013
TD AMERITRADE, INC.
February 20, 2004 - April 22, 2006
TD AMERITRADE CLEARING, INC.
December 19, 2002 - December 2, 2003
LPL FINANCIAL LLC
December 17, 2002 - December 2, 2003
LPL FINANCIAL LLC
August 24, 1998 - December 11, 2002
MORGAN STANLEY DW INC.
April 17, 1998 - December 11, 2002
MORGAN STANLEY DW 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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