JW
Joshua Winter
FOCUS FINANCIAL
WAUSAU, WI 54401
Some features on this profile are disabled
CRD#: 7368569
JW
Professional summary
Joshua Winter, who also goes by Josh Winter, is a registered financial advisor currently at FOCUS FINANCIAL located in Wausau, Wisconsin and OSAIC WEALTH, INC. located in Wausau, Wisconsin.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Joshua has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Winter
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. Sunny Winter Rentals, LLC. POSITION: Owner/Manager NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 12/13/2019 ADDRESS: 2330 Heatherton Lane, Plover WI 54467, United States DESCRIPTION: Accept applications for renting out duplex units, process applications, collect rent, and respond to tenant requests for repairs. 2. SUNNY WINTER RENTALS, LLC POSITION: Owner/Manager NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 12/13/2019 ADDRESS: 312 Poplar Ave, Plover WI 54467, United States DESCRIPTION: Accept applications for renting out duplex units, process applications, collect rent, and respond to tenant requests for repairs. 3. Village of Plover; investment-related = NO; 2400 Post Road, Plover, WI; Municipality; Committee Member-Planning Commission; 5/1/2019; 2 hours/month; 0 hours/month during trading hours; Review/approve/decline site plan reviews and requests for ordinance amendments. 4. VILLAGE OF PLOVER POSITION: Committee Member - Board of Zoning Appeals NATURE: Municipality INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 2400 Post Road, Plover WI 54467, United States DESCRIPTION: Review zoning appeals and collaborate whether or not to approve or deny with other committee members 5. FOCUS FINANCIAL NETWORK INC POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/17/2021 ADDRESS: 3530 Stewart Ave, Wausau WI 54401, United States DESCRIPTION: Sales and service of Life, A&D, Health, and LTC insurance 6. POA POSITION: POA NATURE: Other - Health Care POA & Financial POA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2023 ADDRESS: 2330 Heatherton Lane, Plover WI 54467, United States DESCRIPTION: Contingent/Successor POA for Health Care and Financial for my sister and brother-in-law in case both become incapacitated 7. POA POSITION: POA NATURE: Other - Health Care POA & Financial POA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2023 ADDRESS: 312 Poplar Ave, Plover WI 54467, United States DESCRIPTION: Contingent/Successor POA for Health Care and Financial for my sister and brother-in-law in case both become incapacitated 8. WILL EXECUTOR POSITION: Will Executor NATURE: Other - Executor of Joint Will INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2023 ADDRESS: 2330 Heatherton Lane, Plover WI 54467, United States DESCRIPTION: Execute a will for my sister and brother-in-law in case both pass away at the same time 9. WILL EXECUTOR POSITION: Will Executor NATURE: Other - Executor of Joint Will INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2023 ADDRESS: 312 Poplar Ave, Plover WI 54467, United States DESCRIPTION: Execute a will for my sister and brother-in-law in case both pass away at the same time 10. FOCUS FINANCIAL NETWORK INC POSITION: Financial Advisor NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/17/2021 ADDRESS: 3530 Stewart Ave, Wausau WI 54401, United States DESCRIPTION: -Manage money for clients-Asset allocating-Open accounts-Process paperwork-Attend client meetings-Answer phones 11. VILLAGE OF PLOVER POSITION: Committee Member - Plan Commission NATURE: Municipality INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 2400 Post Road, Plover WI 54467, United States DESCRIPTION: Review/Approve/Decline site plan reviews and request for ordinance amendments
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Winter'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®
NoneExperience
Current
September 20, 2021 - Present
FOCUS FINANCIAL
Office #1: 3530 Stewart Avenue, Wausau, WI 54401RIA
CRD#: 116140
WAUSAU, WI
Current
August 19, 2021 - Present
OSAIC WEALTH, INC.
Office #1: 3530 Stewart Avenue, Wausau, WI 54401RIA
BD
CRD#: 23131
Wausau, WI
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/8/2022)
RR
Wisconsin(9/17/2021)
IAR
Wisconsin(9/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
