JT
Joel R. Top
PLANWISER FINANCIAL
COLORADO SPRINGS, CO 80903
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CRD#: 4870706
JT
Professional summary
Joel Robert Top, who also goes by Joel Robert Top, is a registered financial advisor currently at PLANWISER FINANCIAL located in Colorado Springs, Colorado.
Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joel has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joel Robert Top
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. Top Biz, LLC., Start Date: 07/19/2018, 840 Constellation Pl., Colorado Springs, CO 80906, LLC, The LLC owns the property that PlanWiser Financial leases, Property Address 201 E Las Animas St, Ste 101, Colorado Springs, CO 80903, Manager and Trustee of the trustee that is the Sole Member of the LLC, Manage the property owned by the LLC, Investment Related, 1 Hour per month, 0 Hours per day during trading hours. 2. PlanWiser Tax, LLC., Start Date: 07/01/2023, 620 S Cascade Ave., Ste. 300, Colorado Springs, CO 80903, LLC, Manager - Owner, I will manage the operations of the business but not personally perform tax preparation services, Not Investment Related, 40 Hours per month, 2 Hours per day during trading hours. 3. Octagon Reinsurance Company; not-investment related; Start date: 08/2020; 0 hrs/mnth during securities trading hours; 10hrs/mnth outside of securities trading hours; Monument, CO; Captive Insurance Company; Insurance Agent. 4. Octagon Management; Not Investment Related; Start Date 08/2020; 0 hrs/mnth during securities trading hours; 10hrs/mnth outside of securities trading hours; Monument, CO; Holds Assets of Octagon Reinsurance Company.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Robert Top's 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®
NoneExperience
Current
August 21, 2024 - Present
PLANWISER FINANCIAL
Office #1: 620 S Cascade Ave Suite 300, Colorado Springs, CO 80903RIA
CRD#: 331675
COLORADO SPRINGS, CO
Past
February 20, 2019 - September 16, 2024
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Colorado Springs, CO
Past
February 20, 2019 - December 2, 2019
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
Colorado Springs, CO
Past
January 25, 2007 - February 27, 2019
EDWARD JONES
RIA
CRD#: 250
COLORADO SPRINGS, CO
Past
January 1, 2005 - February 27, 2019
EDWARD JONES
BD
CRD#: 250
COLORADO SPRINGS, CO
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".
PF
PLANWISER FINANCIAL
PLANWISER FINANCIAL | PLANWISER FINANCIAL, LLC
CRD#: 331675 / SEC#: 801-130873
RIA
Registered Investment Advisory firm - (8/5/2024 Approved)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.Highlighted states indicate IAR registrations
IAR
Colorado(8/21/2024)
IAR
Texas(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
PLANWISER FINANCIAL
PLANWISER FINANCIAL | PLANWISER FINANCIAL, LLC
CRD#: 331675 / SEC#: 801-130873
RIA
Registered Investment Advisory firm - (8/5/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 S Cascade Ave Suite 300, Colorado Springs, CO 80903
Mailing Address
Phone number
(719) 822-0808
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 907 |
| AUM (Assets Under Management) | $ 134,106,066 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PLANWISER FINANCIAL
CRD#: 331675Colorado Springs, CO 80903TRUST BUT VERIFY
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