Joseph Eugene Navolanic
Professional Summary
Joseph Eugene Navolanic is a registered financial advisor currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Joseph has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
Contact Information
Main Address
3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410Mailing Address
3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447Phone Number
(336) 288-6890Established
North Carolina since 09/17/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
29SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
FINRA licenses (22 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
271AUM (Assets Under Management)
$85,370,900Disclosures
Regulatory Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
State Registrations and Notice Filings
(3/15/2016)
(4/18/2019)
(1/4/1990)
(10/20/2017)
(2/10/1998)
(7/30/2021)
(11/28/2022)
(6/17/1993)
(8/15/2018)
(9/14/2021)
(5/31/2017)
(6/18/2019)
(7/22/1987)
(5/1/2020)
(12/5/2018)
(10/18/1989)
(8/5/2015)
(4/3/2013)
(7/16/2018)
(10/11/2018)
(5/19/2004)
(9/19/2017)
(6/8/1989)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Eugene Navolanic's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Eugene Navolanic's CRS (Customer Relationship Summary).
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