Jolie Mccarthy

SOCHA FINANCIAL GROUP

Corning, NY 14830

Some features on this profile are disabled

CRD#: 6171720

Professional summary

Jolie Mccarthy, CFP®, who also goes by Jolie Kay Riekofski, Jolie Riekofski, is a registered financial advisor currently at SOCHA FINANCIAL GROUP, LLC located in Corning, New York.

Jolie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jolie has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jolie Kay Riekofski | Jolie Riekofski

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 Jolie Mccarthy'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: 2013

Experience

Current

May 12, 2021 - Present

SOCHA FINANCIAL GROUP, LLC

Office #1: 181 East Second Street, Corning, NY 14830

RIA

CRD#: 299263

Corning, NY

Past

April 3, 2014 - March 22, 2019

SOCHA FINANCIAL GROUP

RIA

CRD#: 108120

CORNING, NY

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".

SOCHA FINANCIAL GROUP, LLC

CRD#: 299263 / SEC#: 801-114654

RIA

Registered Investment Advisory firm - (3/21/2019 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

New York
(5/12/2021)

IAR

Texas
(10/12/2023)

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

Current Firm

SOCHA FINANCIAL GROUP, LLC

CRD#: 299263 / SEC#: 801-114654

RIA

Registered Investment Advisory firm - (3/21/2019 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

181 East Second Street, Corning, NY 14830

Mailing Address

Phone number

(607) 962-0605

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE PART 2A- MARCH 22, 2023 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,627
AUM (Assets Under Management)	$ 410,425,494

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

Glenn Sanger-hodgson

SHONAN GOLD FINANCIAL LLC

IAR

TALLAHASSEE, FL

Albert Faber

DIWY FINANCIAL PLANNING

IAR

LOS ANGELES, CA

Natalia Avila

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

SANTA CLARITA, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jolie Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jolie Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOCHA FINANCIAL GROUP, LLC

SOCHA FINANCIAL GROUP

Primary Firm SEC Registration

SOCHA FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Current Firm

SOCHA FINANCIAL GROUP, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOCHA FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors