Joel Bennett Superfon
Professional Summary
Joel Bennett Superfon was a registered financial advisor. Joel was a previously registered financial professional and started their career in finance 2010 - 2020. Joel had worked at 3 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 52, Series 62, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
16 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CLIENTFIRST FINANCIAL STRATEGIES | RSA SECURITIES, INC. | ROSS, SINCLAIRE & ASSOCIATES, LLC | ROSS, SINCLAIRE & ASSOCIATES, INC. | MIG SECURITIES CORP.
Contact Information
Main Address
700 Walnut Street Ste 600, Cincinnati, OH 45202-2027Established
Ohio since 11/16/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPISAK, KARL A MR | FNOP CCO | 5206890 |
Disclosures
Regulatory Event
11Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Mar 2024About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Mar 2024About the Series 52TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Apr 2010Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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