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JL

Joseph Lafauci

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CRD#: 4191190
JL

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 Lafauci was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

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

January 8, 2008 - December 31, 2013

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA
CRD#: 143384
AUGUSTA, GA
Past

September 19, 2006 - December 31, 2007

RESOURCE HORIZONS GROUP LLC

RIA
CRD#: 104368
AUGUSTA, GA
Past

September 19, 2006 - December 31, 2013

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
AUGUSTA, GA
Past

October 23, 2003 - September 20, 2006

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
MARTINEZ, GA
Past

May 7, 2002 - September 20, 2006

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
MARTINEZ, GA
Past

April 12, 2002 - May 7, 2002

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

May 26, 2000 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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

State Security Law Exam
IAR
Series 65
Date: 7/17/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RH
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
BENEFIT PLANNING | WEALTH ENHANCEMENT & PRESERVATION OF GEORGIA | TRIUMPH ADVISORS | THE DGR GROUP | TGC FINANCIAL ADVISORY GROUP | SUN FINANCIAL SERVICES | SUMMIT FINANCIAL SERVICES | STRATEGIC ASSET ADVISORS | SMARTGROUP HOUSTON | RETIREMENT SOLUTIONS | RETIREMENT ASSET MANAGEMENT | RESOURCE HORIZONS INVESTMENT ADVISORY, INC. | PRM FINANCIAL SERVICES | PARADIGM FINANCIAL GROUP | OAK TREE GROUP | NAVIGATIONAL WEALTH PLANNING | MBA FINANCIAL ADVISORS | MASTERS WEALTH MANAGEMENT GROUP | LIFEPLAN FINANCIAL ADVISORS | LIFE & BENEFIT SERVICES | LCS FINANCIAL GROUP | JFC FINANCIAL SOLUTIONS | INVESTMENT PLANNING SOLUTIONS | INTEGRATED RETIREMENT PLANNING | INNOVATIVE WEALTH MANAGEMENT | HORIZON FINANCIAL CONSULTING | GM FINANCIAL PLANNING | FOCUS FINANCIAL SERVICES | FIRST FINANCIAL RESOURCES | FINANCIAL PARTNERS WEALTH MANAGEMENT | FINANCIAL DESTINY | FEDERAL RETIREMENT ADVISORS | CUMMINGS FINANCIAL SERVICES | BLACK OAK ASSET MANAGEMENT | BENEFIT PLANNING OF CALIFORNIA | BENEFIT PLANNING ADVISORS

CRD#: 143384 / SEC#: 801-68068

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Contact information

Main Address
1350 Church Street, Ext., N.e. 3rd Floor, Marietta, GA 30060
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

CRD#: 143384

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