Joshua R. Wichman
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.
Joshua Robert Wichman, CFP®, who also goes by Josh Robert Wichman, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2010. Joshua had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
December 15, 2017 - December 16, 2019
UNITED CAPITAL FINANCIAL ADVISORS
April 2, 2014 - December 15, 2017
PAYNE WEALTH PARTNERS, INC.
January 9, 2013 - April 1, 2014
PNC WEALTH MANAGEMENT LLC
January 9, 2013 - April 1, 2014
PNC WEALTH MANAGEMENT LLC
August 23, 2011 - November 27, 2012
FIFTH THIRD SECURITIES, INC.
August 23, 2011 - November 27, 2012
FIFTH THIRD SECURITIES, INC.
November 25, 2010 - August 19, 2011
MORGAN STANLEY
November 2, 2010 - August 19, 2011
MORGAN STANLEY
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
