Joseph B. Fuqua

GRANITE CAPITAL

Oakland, CA 94619

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CRD#: 1852295

Professional summary

Joseph Brian Fuqua, CFP®, who also goes by Joe Fuqua, is a registered financial advisor currently at GRANITE CAPITAL located in Oakland, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Joseph has worked at 5 firms and has passed the Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Fuqua

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Brian Fuqua'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

January 18, 2007 - Present

GRANITE CAPITAL

Office #1: 5707 Redwood Rd., Suite 3, Oakland, CA 94619

RIA

CRD#: 141743

Oakland, CA

Past

October 1, 1998 - June 12, 2000

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 30, 1997 - October 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

August 27, 1991 - January 6, 1999

FOUR POINT INVESTMENT COMPANY

CRD#: 15163

SAN JOSE, CA

Past

June 7, 1989 - December 31, 1989

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

August 12, 1988 - June 12, 1989

FOUR POINT INVESTMENT COMPANY

CRD#: 15163

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".

GRANITE CAPITAL

GRANITE CAPITAL | GRANITE CAPITAL MANAGEMENT, LLC

CRD#: 141743 / SEC#: 801-130793

RIA

Registered Investment Advisory firm - (8/14/2024 Approved)

California

Registered Investment Advisory firm - (9/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2024 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).

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

California
(1/18/2007)

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: 1/9/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 6/13/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Current Firm

GRANITE CAPITAL

GRANITE CAPITAL | GRANITE CAPITAL MANAGEMENT, LLC

CRD#: 141743 / SEC#: 801-130793

RIA

Registered Investment Advisory firm - (8/14/2024 Approved)

California

Registered Investment Advisory firm - (9/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2024 Terminated)

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Contact information

Main Address

5707 Redwood Rd., Suite 3, Oakland, CA 94619

Mailing Address

Phone number

(510) 336-9120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GRANITE CAPITAL ADV PART A&B 2024 (3/31/2025)

GRANITE CAPITAL ADV PART A&B 2025 (3/31/2025)

GRANITE CAPITAL ADV PART A&B 2024 - SEC REGISTRATION (3/31/2025)

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 238,066,622

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 B. Fuqua

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BANC OF AMERICA SECURITIES LLC

BANCAMERICA SECURITIES, INC.

FOUR POINT INVESTMENT COMPANY

LASALLE ST SECURITIES, L.L.C.

FOUR POINT INVESTMENT COMPANY

Primary Firm SEC Registration

GRANITE CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2007

Series 3

Date: 6/13/1989

Series 7

Date: 7/16/1988

Current Firm

GRANITE CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANITE CAPITAL

TRUST BUT VERIFY

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