Joel B. Superfon
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.
Joel Bennett Superfon was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2010. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2018 - June 15, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
March 18, 2014 - July 29, 2016
DV FINANCIAL SERVICES, LLC
August 30, 2013 - April 23, 2014
BEDMINSTER FINANCIAL GROUP, LIMITED
May 3, 2010 - June 11, 2013
BEDMINSTER FINANCIAL GROUP, LIMITED
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
Series 79TO
Date: 3/31/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 3/31/2024
Municipal Securities Representative ExaminationSeries 62
Date: 4/30/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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