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JN

Joseph S. Niederkorn

Some features on this profile are disabled
CRD#: 348000
JN

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 Stephen Niederkorn, who also goes by Joe Niederkorn, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 11 firms and has passed the Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Niederkorn

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
THE PUTNEY GROUP REGISTERED INVESTMENT ADVISOR LIFE AND LONG TERM CARE INSURANCE AGENT FULL TIME 1099 E STREET, SAN RAFAEL, CA 94901. JOSEPH NIEDERKORN IS A GENERAL PARTNER IN GENERAL PARTNERSHIPS THAT INVEST IN COINS. JOE NIEDERKORN SERVES ON THE EXECUTIVE COMMITTEE OF THESE PARTNERSHIPS ALONG WITH OTHER PARTNERS. IN ADDITION, JOE NIEDERKORN ASSISTS THE MANAGING PARTNER OF EACH PARTNERSHIP. THESE PARTNERSHIPS ARE NAMED PLACER PARTNERS. THE BUSINESS IS LOCATED AT 1099 E STREET, SAN RAFAEL, CA 94901. JOE NIEDERKORN ASSISTS THE MANAGING PARTNER IN THE FOLLOWING DUTIES: * RECORD KEEPING AND MISC. ADMINISTRATIVE DUTIES. * SECURE PERIODIC APPRAISALS AND NEGOTIATE INSURANCE RENEWALS. * ARRANGE FOR QUARTERLY AND ANNUAL PARTNERS' MEETINGS, DISTRIBUTE MINUTES OF QUARTERLY MEETINGS TO PARTNERS. THIS BUSINESS RELATIONSHIP BEGAN JULY 8, 2009. JOE NIEDERKORN SPENDS APPROXIMATELY 10 HOURS PER MONTH CONDUCTING THIS BUSINESS, NONE OF WHICH OCCUR DURING SECURITIES TRADING HOURS.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 26, 2010 - November 4, 2013

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN RAFAEL, CA
Past

May 3, 1999 - November 5, 1999

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

July 20, 1998 - July 26, 2010

MCCLURG CAPITAL CORPORATION

BD
CRD#: 16798
SAN RAFAEL, CA
Past

August 5, 1997 - July 28, 1998

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
ANAHEIM, CA
Past

July 8, 1997 - June 5, 2023

THE PUTNEY FINANCIAL GROUP LLC

RIA
CRD#: 111639
SAN RAFAEL, CA
Past

May 14, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

April 22, 1994 - April 21, 1997

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

October 23, 1993 - January 21, 1997

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

October 15, 1993 - October 25, 1993

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

October 17, 1991 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT
Past

April 24, 1989 - September 12, 1991

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

July 20, 1988 - May 4, 1989

ILG SECURITIES CORPORATION

BD
CRD#: 422

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/28/1971
Registered Representative Examination

Current Firm

PF
PORTSMOUTH FINANCIAL SERVICES
PORTSMOUTH FINANCIAL SERVICES | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC.

CRD#: 13980 / SEC#: , 8-30097

BD
Terminated by SEC on 02/18/2025
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Contact information

Main Address
601 Montgomery Street Suite 1950, San Francisco, CA 94111
Mailing Address
Phone number
(415) 543-8500
Established
California since 07/06/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
5

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CHIEN, ECHO CHIAPINGCHIEF EXECUTIVE OFFICER2750051
LENT, RAYMOND LAWRENCECHAIRMAN OF THE BOARD817645
DUHAN, ELIOT DANIELCCO4705354

Regulatory assets under management

Total Number of Accounts31
AUM (Assets Under Management)$ 3,671,748

Disclosures

Regulatory Event4

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.

Company Information

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

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