Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joel? Claim Your ProfileJoel David Rothe is a financial advisor with LPL Financial LLC. Joel has been in the financial services industry since 1997 and is registered with the Financial Industry Regulatory Authority (FINRA). Joel is a Certified Financial Planner (CFP®) and has experience in providing financial planning, investment management, and insurance services to individuals and families. Joel is currently licensed to sell securities in Arkansas, California, Colorado, Idaho, Indiana, Kansas, Massachusetts, Oregon, Pennsylvania, and Texas. Joel also provides financial advice through OSAIC WEALTH, INC. and SAGEPOINT FINANCIAL, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CO
03/25/2024 - Present
LPL Financial LLC (Longmont CO)
CO
09/01/2023 - 03/27/2024
OSAIC WEALTH, INC. (LONGMONT CO)
CO
10/31/2005 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (LONGMONT CO)
AZ
01/04/1999 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NE
03/10/1997 - 12/31/1998
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 12/18/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2005
Series 7 - General Securities Representative Examination
BC
Issued 03/07/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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