Joel Busboom

JOEL BUSBOOM FINANCIAL

Franklin, TN

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CRD#: 7196921

Professional summary

Joel Busboom is a registered financial advisor currently at JOEL BUSBOOM FINANCIAL, LLC located in Franklin, Tennessee.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Joel has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.

(1)Name of Business : Army Reserves Address: Leonard Wood, MO Nature of the Business: Military Position/Title: Military Investment Related:No Start Date: 08/01/2005 Hours per month devoted to this business: 48 Hours per month devoted to this business during trading hours: 0 Description of duties: Small Group Leader for the Engineers Captain Career Course (3)Name of Business : Busboom Investments, Inc Address: Franklin, TN Nature of the Business: Board Member/Officer/Director Position/Title: Director Investment Related:Yes Start Date: 12/04/2017 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Minimal...Family Business led by my Father. (4)Name of Business : The Inspired Workplace Address: Franklin, TN Nature of the Business: Consulting and financial education Position/Title: Owner Investment Related: Yes Start Date: 08/2021 Hours per month devoted to this business: 20 Hours per month devoted to this business during trading hours: 10 Description of duties: Provide financial education and consulting services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Busboom'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

July 6, 2021 - Present

JOEL BUSBOOM FINANCIAL, LLC

RIA

CRD#: 314481

Franklin, TN

Past

July 28, 2020 - July 19, 2021

SOUTHPORT CAPITAL

RIA

CRD#: 113364

Franklin, TN

Past

January 15, 2020 - July 8, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

FRANKLIN, TN

Past

December 5, 2019 - July 8, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

FRANKLIN, TN

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

Tennessee
(7/6/2021)

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 66

Date: 1/9/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/5/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/12/2019

Securities Industry Essentials Examination

Current Firm

JOEL BUSBOOM FINANCIAL, LLC

CRD#: 314481 / SEC#:

Tennessee

Registered Investment Advisory firm - (7/6/2021 Approved)

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Contact information

Main Address

Franklin, TN

Mailing Address

Phone number

(262) 909-4636

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 11,686,203

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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Joel Busboom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Busboom's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOEL BUSBOOM FINANCIAL, LLC

SOUTHPORT CAPITAL

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2020

Series 7TO

Date: 12/5/2019

SIE

Date: 11/12/2019

Current Firm

JOEL BUSBOOM FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOEL BUSBOOM FINANCIAL, LLC

TRUST BUT VERIFY

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