Joseph F. Curtin

GOLDEN WEALTH MANAGEMENT

SARATOGA SPRINGS, NY

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CRD#: 4015134

Professional summary

Joseph Francis Curtin is a registered financial advisor currently at GOLDEN WEALTH MANAGEMENT located in Saratoga Springs, New York and PRIVATE CLIENT SERVICES, LLC located in Pittston, Pennsylvania.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) NORTH LEGEND PARTNERS LLC.22 EUREKA AVE. SARATOGA SPRINGS, NY 12866. FAMILY LLC, EBAY SALES, POSSIBLE REAL ESTATE. MANAGING DIRECTOR. 1 HOUR/MO; 1 DURING TRADING HOURS. 2) GOLDEN WEALTH MANAGEMENT. 2 SOUTH MAIN STREET, STE. 401, PITTSTON, PA 18640. RIA. INVESTMENT ADVISOR. 80 HOURS/MO; 4 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Curtin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 18, 2019 - Present

GOLDEN WEALTH MANAGEMENT

RIA

CRD#: 299522

SARATOGA SPRINGS, NY

Current

March 8, 2019 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2 South Main Street Suite 400, Pittston, PA 18640

RIA

CRD#: 120222

Pittston, PA

Past

September 25, 2009 - March 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

WILKES-BARRE, PA

Past

September 25, 2009 - March 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

WILKES-BARRE, PA

Past

June 4, 2008 - September 25, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PLAINS, PA

Past

June 4, 2008 - September 25, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PLAINS, PA

Past

July 1, 2003 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLAINS, PA

Past

July 1, 2003 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PLAINS, PA

Past

February 12, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SCRANTON, PA

Past

November 21, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 6, 1999 - August 7, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GOLDEN WEALTH MANAGEMENT

GOLDEN WEALTH MANAGEMENT | GOLDEN WEALTH MANAGEMENT LLC

CRD#: 299522 / SEC#: 801-117113

RIA

Registered Investment Advisory firm - (8/1/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/12/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(3/8/2019)

Massachusetts
(3/8/2019)

New Jersey
(4/22/2019)

New York
(3/8/2019)

IAR

New York
(8/28/2021)

Pennsylvania
(3/13/2019)

IAR

Pennsylvania
(3/18/2019)

IAR

Texas
(5/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/4/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GOLDEN WEALTH MANAGEMENT

GOLDEN WEALTH MANAGEMENT | GOLDEN WEALTH MANAGEMENT LLC

CRD#: 299522 / SEC#: 801-117113

RIA

Registered Investment Advisory firm - (8/1/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/12/2019 Terminated)

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Contact information

Main Address

2 South Main Street Suite 400, Pittston, PA 18640

Mailing Address

Phone number

(570) 208-7050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- GOLDEN WEALTH MANAGEMENT LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 137,488,000

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.

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Advisor Monitoring

Firm Stability Insights

Joseph F. Curtin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Curtin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

GOLDEN WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/16/1999

Series 63

Date: 11/16/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2000

Series 6

Date: 10/4/1999

FINRA

Current Firm

GOLDEN WEALTH MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDEN WEALTH MANAGEMENT

TRUST BUT VERIFY

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