Joel R. Wolfrom
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.
Joel Ramsdell Wolfrom was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1973. Joel had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2005 - May 6, 2009
NORTHEAST FINANCIAL GROUP, INC.
July 30, 2002 - November 18, 2019
EQUITABLE ADVISORS, LLC
October 20, 1980 - November 18, 2019
EQUITABLE ADVISORS, LLC
July 23, 1973 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
NORTHEAST FINANCIAL GROUP, INC.
CRD#: 122609 / SEC#: 801-78187
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
Series 1
Date: 7/16/1973
Registered Representative ExaminationCurrent Firm
NORTHEAST FINANCIAL GROUP, INC.
CRD#: 122609 / SEC#: 801-78187
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,368 |
| AUM (Assets Under Management) | $ 1,205,206,195 |
Red Flags
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