Joseph C. Kroboth
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 Christopher Kroboth was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 4 firms and has passed the Series 65, 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
April 12, 2016 - September 19, 2016
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
August 5, 2000 - June 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
November 25, 1998 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
May 15, 1998 - November 20, 1998
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
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
CRD#: 145331 / SEC#: 801-68444
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 3,633 |
| AUM (Assets Under Management) | $ 1,256,022,576 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/24/2024 | ||
| 01/08/2024 | ||
| 01/12/2023 |
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.
