Joseph A. Toepke

GREENLEAF FINANCIAL NETWORK

COLUMBIA, MO

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CRD#: 6501576

Professional summary

Joseph Arthur Toepke is a registered financial advisor currently at GREENLEAF FINANCIAL NETWORK, LLC located in Columbia, Missouri.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Joseph has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

09/2016-Present; Various Insurance Carriers; Columbia, MO; Investment Related; Insurance Sales; Insurance Agent. 04/2014-06/2019; MOVA; Jefferson City, Mo; Not Investment Related; 501(c)(3); Vice President of the Board; 4hrs/Mo; 0hrs/Mo during Security Trading Hours. 07/2014-Present; Board of Education-Columbia Public Schools; Columbia, MO; Not Investment Related; 501(c)(3); Community Member; 4hrs/Mo; 0hrs/Mo during Security Trading Hrs. 03/2008-Present; American Legion Post 202; Columbia, MO; Not Investment Related; 501(c)(3); Post Adjutant; 6hrs/Mo; 0hrs/Mo during Security Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Arthur Toepke'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®

None

Experience

Current

February 11, 2020 - Present

GREENLEAF FINANCIAL NETWORK, LLC

RIA

CRD#: 284165

COLUMBIA, MO

Past

September 16, 2016 - September 18, 2018

WADDELL & REED

RIA

CRD#: 866

CREVE COEUR, MO

Past

March 21, 2016 - September 18, 2018

WADDELL & REED

CRD#: 866

CREVE COEUR, MO

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

Kansas
(12/23/2021)

IAR

Missouri
(2/11/2020)

IAR

Texas
(12/22/2021)

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

State Security Law Exam

IAR

Series 65

Date: 8/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/4/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GREENLEAF FINANCIAL NETWORK, LLC

CRD#: 284165 / SEC#:

Illinois

Registered Investment Advisory firm - (10/14/2020 Terminated)

Kansas

Registered Investment Advisory firm - (8/5/2016 Approved)

Maryland

Registered Investment Advisory firm - (1/28/2020 Approved)

Missouri

Registered Investment Advisory firm - (1/31/2017 Approved)

Nevada

Registered Investment Advisory firm - (12/31/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (5/11/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/22/2018 Approved)

Texas

Registered Investment Advisory firm - (5/17/2017 Approved)

Virginia

Registered Investment Advisory firm - (9/20/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Leawood, KS

Mailing Address

Phone number

(913) 515-3517

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	319
AUM (Assets Under Management)	$ 99,390,104

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.

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Joseph A. Toepke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Arthur Toepke's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENLEAF FINANCIAL NETWORK, LLC

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2016

Series 63

Date: 6/1/2016

SIE

Date: 9/18/2018

Series 6

Date: 3/4/2016

Current Firm

GREENLEAF FINANCIAL NETWORK, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREENLEAF FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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