Joseph W. Valletta

HR INVESTMENT CONSULTANTS

BALTIMORE, MD 21204

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CRD#: 1437852

Professional summary

Joseph William Valletta is a registered financial advisor currently at HR INVESTMENT CONSULTANTS, INC. located in Baltimore, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Joseph has worked at 2 firms and has passed the Series 65 and Series 27 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.

PENSION DATA SOURCE, INC., (PDS) IS NOT AN INVESTMENT-RELATED BUSINESS, AND IS LOCATED AT 305 W. CHESAPEAKE AVENUE, SUITE 205, BALTIMORE, MD 21204. PDS PUBLISHES FEE BENCHMARKING DATA FOR RETIREMENT PLANS. MR. VALLETTA IS 50% OWNER AND THE BUSINESS BEGAN APRIL 1, 2009. APPROXIMATELY 30 HOURS PER MONTH ARE DEVOTED TO THIS BUSINESS. HIS DUTIES INCLUDE OVERSIGHT AND DATA MANAGEMENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Valletta'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®

None

Experience

Current

November 2, 1990 - Present

HR INVESTMENT CONSULTANTS, INC.

Office #1: 305 W. Chesapeake Avenue Suite 205, Baltimore, MD 21204

RIA

CRD#: 115623

BALTIMORE, MD

Past

December 2, 1986 - May 17, 1990

HARVEST SECURITIES, INC.

CRD#: 17063

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

Maryland
(11/2/1990)

IAR

Texas
(6/27/2012)

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: 6/25/1990

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 27

Date: 10/30/1986

Financial and Operations Principal Examination

Current Firm

HR INVESTMENT CONSULTANTS, INC.

CRD#: 115623 / SEC#:

Maryland

Registered Investment Advisory firm - (11/2/1990 Approved)

Texas

Registered Investment Advisory firm - (6/27/2012 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (7/27/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

502 Washington Avenue, Suite 620, Baltimore, MD 21204

Mailing Address

Phone number

(410) 296-1081

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 W. Valletta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HR INVESTMENT CONSULTANTS, INC.

HARVEST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1990

Series 27

Date: 10/30/1986

Current Firm

HR INVESTMENT CONSULTANTS, INC.

Contact information

Documents

Red Flags

Company Information

HR INVESTMENT CONSULTANTS, INC.

TRUST BUT VERIFY

Contact information

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