Joan M. Steliga
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.
Joan Marie Steliga, who also goes by Joan Marie Goodrich, Joan Marie Poncek, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 2001. Joan had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2018 - December 1, 2020
NICOLET WEALTH MANAGEMENT
May 13, 2013 - March 17, 2014
INVEST FINANCIAL CORPORATION
October 11, 2011 - May 3, 2013
LPL FINANCIAL LLC
April 3, 2006 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2002 - April 4, 2006
FOCUSED INVESTMENTS L.L.C.
October 8, 2001 - January 4, 2002
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
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
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,809 |
| AUM (Assets Under Management) | $ 3,849,158,087 |
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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