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Michael Woloshin

Woloshin Investment Management, LLC
45 Years of Experience
Medford, NJ
10 DisclosuresSells Insurance
View SEC Summary
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Michael Woloshin is a registered investment advisor at Woloshin Investment Management, LLC, based in Medford, NJ, with 45 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 410 clients with $180M in assets under management.

Woloshin Investment Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3 advisors
Number of Clients
410 clients
Average Client Portfolio
$440K average
Assets Under Management
$180.4M

Fee Structure

Minimum Investment:$200K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$100
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.97%
$500K - $1.0M1.87%
$1.0M - $2.0M1.77%
$2.0M - $3.0M1.67%
$3.0M - $4.0M1.57%
$4.0M - $5.0M1.47%
$5M+1.37%

All fees are negotiable at the firm's discretion. There is a minimum quarterly fee of $25 per account.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

40 North Main Street, Medford, NJ, 08055

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
April 2016
Customer Dispute
December 2008
Closed-No Action
Customer Dispute
October 2002
Closed-No Action
Customer Dispute
September 2001
Settled
Customer Dispute
March 2000
Settled
Regulatory
August 1997
Final
Customer Dispute
March 1996
Settled
Customer Dispute
December 1993
Settled
Regulatory
October 1990
Final
Customer Dispute
October 1990
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michael is a director at Advanced Educational Services since 1998. He also works as an insurance salesman/producer, selling health and life insurance policies, dedicating a few hours per week. Michael also provides trustee services for Deferred Sales Trusts, spending a few hours per week.

Employment History
Current Registrations
Woloshin Investment Management, LLC
August 2004 - Present · 22 yrs 2 mos
Previous Registrations
Summit Brokerage Services, INC.Broker
September 2015 - April 2016 · 7 mos
J.P. Turner & Company, L.L.C.Broker
April 2004 - December 2015 · 11 yrs 8 mos
Oppenheimer & CO. INC.Broker
March 1993 - March 2004 · 11 yrs
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1990 - February 1993 · 2 yrs 9 mos
Gruntal & CO. IncorporatedBroker
October 1985 - May 1990 · 4 yrs 7 mos
Herzfeld & Stern INC.Broker
July 1982 - October 1985 · 3 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1981 - May 1983 · 1 yr 7 mos
D. H. Wallach, INC.Broker
June 1981 - March 1984 · 2 yrs 9 mos
State Registrations1 state
NJ
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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