Joseph I. Yanofsky
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.
Joseph Ira Yanofsky, who also goes by Joe Yanofsky, Joseph I Yanofsky, Joseph L Yanofsky, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1979. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2015 - April 21, 2022
FFEC WEALTH PARTNERS LLC
June 30, 2015 - April 6, 2022
FFEC WEALTH PARTNERS LLC
September 26, 1991 - May 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1990 - May 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
July 15, 1987 - October 17, 1988
HANIFEN, IMHOFF INC.
May 22, 1985 - June 30, 1987
UBS FINANCIAL SERVICES INC.
July 22, 1983 - February 11, 1985
UBS FINANCIAL SERVICES INC.
February 10, 1982 - December 6, 1983
E. F. HUTTON & COMPANY INC
August 22, 1979 - March 3, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
