Joshua Konoff
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 Konoff, CFP® was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2017. Joshua had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2016
Experience
May 4, 2019 - August 6, 2019
COMPASS PLANNING ASSOCIATES, INC.
January 16, 2018 - February 27, 2019
CITIZENS SECURITIES, INC.
May 2, 2017 - December 13, 2017
CITIZENS SECURITIES, INC.
April 12, 2017 - February 27, 2019
CITIZENS SECURITIES, INC.
February 1, 2017 - February 9, 2017
COHEN INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
COMPASS PLANNING ASSOCIATES, INC.
CRD#: 128014 / SEC#: 801-129110
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
COMPASS PLANNING ASSOCIATES, INC.
CRD#: 128014 / SEC#: 801-129110
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 323 |
| AUM (Assets Under Management) | $ 199,540,863 |
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.
