Joseph Piangozza

UNITED CAPITAL FINANCIAL ADVISORS

BETHPAGE, NY 11714

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CRD#: 1310160

Professional summary

Joseph Piangozza, ChFC®, CLU®, who also goes by Joe Piangozza, Joseph Dominick Piangozza, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Bethpage, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Piangozza | Joseph Dominick Piangozza

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.

1. Owner at Northeast Executive Properties 1, LLC, a real estate holding company. Organization's primary address is in Bethpage, NY. Organization is not primarily engaged in investment-related activities. Start Date is March 21st, 2008. Two hours per month. Duties include general ownership responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Piangozza'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

May 10, 2019 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 24 Union Avenue, Bethpage, NY 11714

RIA

CRD#: 134600

BETHPAGE, NY

Past

January 11, 2011 - May 16, 2019

TOTAL FINANCIAL ADVISORS, LLC

RIA

CRD#: 143998

BETHPAGE, NY

Past

September 1, 2009 - March 31, 2014

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

BETHPAGE, NY

Past

August 15, 2005 - September 1, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BETHPAGE, NY

Past

January 5, 1998 - August 15, 2005

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

August 15, 1994 - December 31, 1997

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

October 26, 1984 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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

Florida
(1/20/2023)

IAR

New York
(3/14/2021)

IAR

Texas
(5/10/2019)

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

Series 63

Date: 11/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/1996

General Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	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.

Contact information

xxxxx@xxxx.xxx

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Joseph Piangozza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Piangozza's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOTAL FINANCIAL ADVISORS, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WATERSTONE FINANCIAL GROUP, INC.

TOWER SQUARE SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1984

Series 7

Date: 10/20/1984

Series 24

Date: 2/6/1996

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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