TW
Todd J. Wokoske
PROFESSIONAL PLANNING GROUP
Westerly, RI 02891
Some features on this profile are disabled
CRD#: 5084156
TW
Professional summary
Todd Joseph Wokoske, who also goes by Todd J Wokoske, is a registered financial advisor currently at PROFESSIONAL PLANNING GROUP located in Westerly, Rhode Island and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Westerly, Rhode Island.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Todd has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Todd J Wokoske
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)Name of Business: Address: 7 Blossom Court, Wakefield, RI, 02879, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 09/01/2013 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Property management (3)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/10/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Trading, Client Service, Client Reviews
CRS (Client Relationship Summary) - RIA
Click below to view Todd Joseph Wokoske'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 24, 2023 - Present
PROFESSIONAL PLANNING GROUP
Office #1: 9 Granite Street, Westerly, RI 02891RIA
CRD#: 108868
Westerly, RI
Current
July 17, 2023 - Present
RAYMOND JAMES FINANCIAL SERVICES, INC.
Office #1: 9 Granite Street, Westerly, RI 02891BD
CRD#: 6694
Westerly, RI
Past
May 17, 2017 - June 28, 2023
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WARWICK, RI
Past
May 17, 2017 - June 28, 2023
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WARWICK, RI
Past
July 17, 2006 - June 7, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEEDHAM, MA
Past
April 5, 2006 - June 7, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEEDHAM, MA
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".
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2024)
RR
California(1/4/2024)
RR
Connecticut(7/20/2023)
RR
Florida(7/20/2023)
RR
Georgia(10/13/2023)
RR
Illinois(1/4/2024)
RR
Kentucky(1/4/2024)
RR
Maine(10/6/2023)
RR
Massachusetts(7/20/2023)
RR
Mississippi(1/4/2024)
RR
New Hampshire(9/12/2023)
RR
New Jersey(10/28/2024)
RR
New York(1/4/2024)
RR
North Carolina(10/4/2023)
RR
Pennsylvania(9/15/2023)
RR
Rhode Island(7/17/2023)
IAR
Rhode Island(9/8/2023)
RR
South Carolina(12/6/2023)
RR
Tennessee(9/15/2023)
IAR
Texas(8/24/2023)
RR
Utah(10/13/2023)
RR
Vermont(9/12/2024)
RR
Virginia(10/17/2023)
RR
Wisconsin(10/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
CRD#: 108868 / SEC#: 801-15330
RIA
Registered Investment Advisory firm - (7/18/1980 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
9 Granite Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-2800
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,354 |
| AUM (Assets Under Management) | $ 1,166,383,072 |
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.
Company Information
PROFESSIONAL PLANNING GROUP
CRD#: 108868Westerly, RI 02891TRUST BUT VERIFY
Monitor Todd Wokoske
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
