JO
Joseph D. Ochoa
USAA INVESTMENT SERVICES COMPANY
San Antonio, TX 78288
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CRD#: 1383585
JO
Professional summary
Joseph Donald Ochoa is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in San Antonio, Texas.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Joseph has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Nature of Business: Life Insurance Agent for USAA Life Insurance Company, an affiliate of the firm.
Business Address: 9800 Fredericksburg Road, San Antonio, TX 78288
Title/Position: Life/Health agent
Brief Description of Duties Performed: I am a licensed insurance agent of USAA Life Insurance Company (LifeCo), an affiliate of USAA Investment Services Company (ISCO), and perform duties for LifeCo which may include life insurance sales, annuity sales, and/or LifeCo management responsibilities in addition to my duties as a registered representative performed on behalf of ISCO.
Dates Employed: 09/16/2011-Current
Amount of time you devote per week or per month: 38-40 hours per week
Work During Trading Hours: Yes
Investment related: Yes
Cash or non-cash compensation received: Yes
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Donald Ochoa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Donald Ochoa's 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®
NoneExperience
Current
January 8, 2018 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Current
June 8, 2020 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Past
September 13, 2011 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
September 13, 2011 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
March 4, 2011 - April 21, 2011
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
September 4, 2009 - February 22, 2011
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
SAN MARCOS, TX
Past
August 19, 2009 - February 22, 2011
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN MARCOS, TX
Past
July 14, 2004 - October 18, 2006
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
SAN ANTONIO, TX
Past
October 29, 2003 - October 18, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
SAN ANTONIO, TX
Past
April 7, 2003 - October 27, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN ANTONIO, TX
Past
March 28, 2003 - October 27, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 29, 1985 - March 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOISE, ID
Past
July 23, 1985 - March 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2020)
RR
Alaska(6/8/2020)
RR
Arizona(6/8/2020)
RR
Arkansas(6/8/2020)
RR
California(6/8/2020)
RR
Colorado(6/8/2020)
RR
Connecticut(6/8/2020)
RR
Delaware(6/8/2020)
RR
District of Columbia(6/8/2020)
RR
Florida(6/8/2020)
RR
Georgia(6/8/2020)
RR
Hawaii(6/8/2020)
RR
Idaho(6/8/2020)
RR
Illinois(6/8/2020)
RR
Indiana(6/8/2020)
RR
Iowa(6/8/2020)
RR
Kansas(6/8/2020)
RR
Kentucky(6/8/2020)
RR
Louisiana(6/8/2020)
RR
Maine(6/8/2020)
RR
Maryland(6/8/2020)
RR
Massachusetts(6/8/2020)
RR
Michigan(6/8/2020)
RR
Minnesota(6/8/2020)
RR
Mississippi(6/8/2020)
RR
Missouri(6/8/2020)
RR
Montana(6/8/2020)
RR
Nebraska(6/8/2020)
RR
Nevada(6/8/2020)
RR
New Hampshire(6/8/2020)
RR
New Jersey(6/8/2020)
RR
New Mexico(6/8/2020)
RR
New York(6/8/2020)
RR
North Carolina(6/8/2020)
RR
North Dakota(6/8/2020)
RR
Ohio(6/8/2020)
RR
Oklahoma(6/8/2020)
RR
Oregon(6/8/2020)
RR
Pennsylvania(6/8/2020)
RR
Puerto Rico(6/8/2020)
RR
Rhode Island(6/8/2020)
RR
South Carolina(6/8/2020)
RR
South Dakota(6/8/2020)
RR
Tennessee(6/8/2020)
IAR
Texas(1/8/2018)
RR
Texas(6/8/2020)
RR
Utah(6/8/2020)
RR
Vermont(6/8/2020)
RR
Virgin Islands(6/8/2020)
RR
Virginia(6/8/2020)
RR
Washington(6/8/2020)
RR
West Virginia(6/8/2020)
RR
Wisconsin(6/8/2020)
RR
Wyoming(6/8/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/27/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
