Joseph R. Pelosi

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CRD#: 1553560

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Raymond Pelosi, who also goes by Joseph R Pelosi, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph R Pelosi

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.

Fixed Insurance Curious Child, Non Compensated Business manager for daycare facility owned by family member. LSIA - Investment Advisor, Venditti Construction Inc. Son in law's business. Provides managerial advice on Financial and Resource aspects of the business, Curious Child SRR LLC (Southroad Reality)-Realty Holding Company for Curious Child LLC Daycare. Provides managerial advice on Financial and Resource aspects of the business, Westshore Road Realty -Realty Holding company for Vendittie Construction Inc. Provides managerial advice on Financial and Resource aspects of the business. Trustee and Executive for mother's estate and Trust Trustee and Executive for step-mother's estate Clark Street Holdings - Real Estate Holding in which a daycare operates within. Learning Group Westerly- Daycare Center for children Ally Bellani Maternity- Retail sales of higher end toys and books along with classes provided for pre and post maternity. VC Realty- (owned by Daughter and Son-in-law) Joe answers management questions and assists with tax prep.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2018 - October 8, 2024

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

Greenville, RI

Past

January 9, 2018 - October 8, 2024

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

GREENVILLE, RI

Past

May 24, 2017 - June 26, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

WARWICK, RI

Past

September 21, 1987 - October 17, 1988

PFS INVESTMENTS INC.

CRD#: 10111

Past

September 5, 1986 - November 5, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 3/5/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

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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Advisor Monitoring

Firm Stability Insights

Joseph R. Pelosi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

MML INVESTORS SERVICES, LLC

PFS INVESTMENTS INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2018

Series 63

Date: 9/10/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2017

Series 6

Date: 9/4/1986

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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