Joseph Patrick Batcha Iii Iii
Professional Summary
Joseph Patrick Batcha Iii III, who also goes by Jay Batcha III, Joseph Patrick Batcha III, Joseph Patrick Batcha, is a registered financial advisor currently at OPTIMAL CAPITAL ADVISORS, LLC located in Traverse City, Michigan. Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jay Batcha Iii, Joseph Patrick Batcha Iii, Joseph Patrick Batcha
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
OPTIMAL CAPITAL ADVISORS, LLC
Contact Information
Main Address
12935 Sw Bayshore Dr Suite 305, Traverse City, MI 49684Phone Number
(231) 933-4677# of Employees
2SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
223AUM (Assets Under Management)
$119,931,878Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2026 | Cover Page | Report |
| 11/27/2024 | Cover Page | Report |
| 01/29/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
OPTIMAL CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
(9/16/2010)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1988Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Batcha Iii III's CRS (Customer Relationship Summary).
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