Joshua L. Wolberg

GREAT RIVER FINANCIAL

PLYMOUTH, MN 55441

Some features on this profile are disabled

CRD#: 5004871

Professional summary

Joshua Lin Wolberg, CFP®, who also goes by Joshua L Wolberg, Joshua Wolberg, is a registered financial advisor currently at GREAT RIVER FINANCIAL located in Plymouth, Minnesota.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joshua has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

I am the President and Founder of Great River Financial. Prior to becoming an advisor in 2007, I spent 9 years combined in software development and corporate finance. I serve clients as the Lead Financial Planner and Investment Manager for Great River Financial. I also teach as an adjunct instructor at Minnesota State University in Edina, MN where I help other Financial Advisors pursue the CFP® Designation.

I am from Wall, South Dakota. My wife Amy and I moved to the Twin Cities in 1999 and live in Eden Prairie with our three children and rescue dog. I enjoy being active and love traveling, hiking, running, and am a veracious listener of non-fiction audiobooks. I dive deep into multiple complex subjects to seek wisdom about living a meaningful and happy life and share this wisdom with others to help them pursue the same.

Question & Answer

What are your service offerings?

Tax Planning

Employee and Employer Plan Ben...

Investment Planning

Estate Planning

Retirement Planning

Comprehensive Financial Planni...

Do you have an area of expertise or specialization?

Annuities

Estate & Generational Planning...

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

Tax Planning

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

Joshua L Wolberg | Joshua Wolberg

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) - RIA

Click below to view Joshua Lin Wolberg's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

July 9, 2021 - Present

GREAT RIVER FINANCIAL

Office #1: 9800 Shelard Pkwy Suite 113, Plymouth, MN 55441

RIA

CRD#: 314172

PLYMOUTH, MN

Past

February 21, 2017 - August 16, 2018

CRD#: 6413

GOLDEN VALLEY, MN

Past

September 12, 2007 - February 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BLOOMINGTON, MN

Past

August 20, 2007 - February 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLOOMINGTON, MN

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".

GREAT RIVER FINANCIAL

GREAT RIVER FINANCIAL | GREAT RIVER FINANCIAL LLC

CRD#: 314172 / SEC#: 801-121581

RIA

Registered Investment Advisory firm - (6/24/2021 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

Minnesota
(7/9/2021)

IAR

Texas
(7/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2007

General Securities Representative Examination

Current Firm

GREAT RIVER FINANCIAL

GREAT RIVER FINANCIAL | GREAT RIVER FINANCIAL LLC

CRD#: 314172 / SEC#: 801-121581

RIA

Registered Investment Advisory firm - (6/24/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9800 Shelard Pkwy Suite 113, Plymouth, MN 55441

Mailing Address

Phone number

(763) 231-7581

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/16/2025)

Regulatory assets under management

Total Number of Accounts	394
AUM (Assets Under Management)	$ 162,062,965

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua L. Wolberg

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Lin Wolberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

ONEDIGITAL

ONEDIGITAL

FINANCIAL ADVOCATES ADVISORY SERVICES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GREAT RIVER FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2007

SIE

Date: 8/16/2018

Series 7

Date: 8/17/2007

Current Firm

GREAT RIVER FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT RIVER FINANCIAL

TRUST BUT VERIFY

Similar Advisors