Joseph P. Batcha Iii

OPTIMAL CAPITAL ADVISORS

TRAVERSE CITY, MI 49684

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CRD#: 1286067

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Batcha Iii | Joseph Patrick Batcha Iii | Joseph Patrick Batcha

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.

I AM THE MANAGING PRINCIPAL OF OPTIMAL CAPITAL ADVISORS, LLC. THIS IS MY PRIMARY EMPLOYMENT. I AM ALSO REGISTERED WITH WISLAR WEALTH MANAGEMENT AS AN IAR FOR INVESTMENT PORTFOLIO REVIEW ONLY, NO CONTACT WITH CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Batcha Iii III's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 16, 2010 - Present

OPTIMAL CAPITAL ADVISORS, LLC

Office #1: 12935 Sw Bayshore Dr Suite 305, Traverse City, MI 49684

RIA

CRD#: 144719

TRAVERSE CITY, MI

Past

March 3, 2009 - June 27, 2012

WISLAR WEALTH MANAGEMENT, LLC

RIA

CRD#: 144289

HOPEWELL, NJ

Past

January 11, 2008 - January 31, 2008

USF ADVISORS, LLC

RIA

CRD#: 130569

HOUSTON, TX

Past

March 31, 2006 - December 31, 2007

USF SECURITIES, L.P.

CRD#: 37942

TRAVERSE CITY, MI

Past

March 27, 2006 - December 31, 2007

USF ADVISORS, LLC

RIA

CRD#: 130569

HOUSTON, TX

Past

December 13, 2002 - March 9, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TRAVERSE CITY, MI

Past

November 14, 1997 - March 9, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

TRAVERSE CITY, MI

Past

April 29, 1985 - November 19, 1997

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

September 20, 1984 - May 13, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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".

OPTIMAL CAPITAL ADVISORS, LLC

CRD#: 144719 / SEC#: 801-68219

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(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

State Security Law Exam

IAR

Series 65

Date: 4/11/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/4/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/12/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OPTIMAL CAPITAL ADVISORS, LLC

CRD#: 144719 / SEC#: 801-68219

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

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Contact information

Main Address

12935 Sw Bayshore Dr Suite 305, Traverse City, MI 49684

Mailing Address

Phone number

(231) 933-4677

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OPTIMAL CAPITAL PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	309
AUM (Assets Under Management)	$ 119,123,630

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/27/2024	Cover Page	Report
01/29/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Joseph P. Batcha Iii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Patrick Batcha Iii III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WISLAR WEALTH MANAGEMENT, LLC

USF ADVISORS, LLC

USF SECURITIES, L.P.

USF ADVISORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

FIRST OF MICHIGAN CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

OPTIMAL CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2003

Series 63

Date: 8/21/1984

Series 3

Date: 5/4/1987

Series 7

Date: 9/15/1984

Series 8

Date: 10/12/1988

Current Firm

OPTIMAL CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPTIMAL CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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