Joseph J. Tomczyk
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 John Tomczyk, CFP®, who also goes by Joe John Tomczyk III, Joseph J. Tomczyk III, Joseph John Tomczyk Iii, Joseph Tomczyk, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2022 - July 3, 2023
TRAPHAGEN FINANCIAL GROUP
October 20, 2017 - November 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2017 - November 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2014 - May 1, 2017
STRATEGIC ADVISERS LLC
June 19, 2014 - April 21, 2017
FIDELITY BROKERAGE SERVICES LLC
August 13, 2007 - January 22, 2014
ERNST & YOUNG INVESTMENT ADVISERS LLP
June 9, 2006 - September 11, 2006
PRUCO SECURITIES, LLC.
February 9, 2006 - September 11, 2006
PRUCO SECURITIES, LLC.
December 20, 2005 - January 31, 2006
STATE FARM VP MANAGEMENT CORP.
April 4, 2005 - May 16, 2005
MORGAN STANLEY DW INC.
November 19, 2004 - May 16, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRAPHAGEN FINANCIAL GROUP
CRD#: 107764 / SEC#: 801-56130
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
TRAPHAGEN FINANCIAL GROUP
CRD#: 107764 / SEC#: 801-56130
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,964 |
| AUM (Assets Under Management) | $ 1,898,214,989 |
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.
