Joseph P. Sarappo

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

Willow Grove, PA 19090

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CRD#: 1868768

Professional summary

Joseph Philip Sarappo, who also goes by Joe Sarappo III, Joseph Philip Sarappo III, Joseph Philip Iii Sarappo, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Willow Grove, Pennsylvania and LASALLE ST SECURITIES, L.L.C. located in Willow Grove, Pennsylvania.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Sarappo Iii | Joseph Philip Sarappo Iii | Joseph Philip Iii Sarappo

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.

SARAPPO'S PIZZA; BENSALEM, PA; PIZZA SHOP; DUTIES: OVERSEE OPERATIONS; START DATE: 2/1/2014; OWNER; 5% TIME SPENT. SARAPPO'S PIZZA; CROYDON, PA; PIZZA RESTAURANT; START DATE: 1/1/2004; PRESIDENT; 2% TIME SPENT; DUTIES: OVERSEE GENERAL OPERATIONS. RETIREMENT PLANNING SPECIALISTS, INC.; CORPORATION; PRESIDENT, CEO; RIA; DUTIES: OVERSEE OPERATIONS, RIA, INSURANCE SALES AND MUTUAL FUNDS; 90% TIME SPENT; START DATE: 8/10/1998. Insurance, Various Insurance Products, 5% of trading hours RPS Tax Centers; Willow Grove, PA; investment related; Service: preparing and completing tax returns; start date: 1/1/2018; time spent: 8 hours/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Philip Sarappo'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®

None

Experience

Current

May 5, 2021 - Present

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

Office #1: 1000 Easton Road, Willow Grove, PA 19090

RIA

CRD#: 109701

Willow Grove, PA

Current

May 21, 2021 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 1000 Easton Road, Willow Grove, PA 19090

CRD#: 7191

Willow Grove, PA

Past

July 2, 2012 - May 21, 2021

APW CAPITAL, INC.

CRD#: 43814

WILLOW GROVE, PA

Past

July 29, 2011 - December 31, 2021

RETIREMENT PLANNING SPECIALISTS

RIA

CRD#: 157811

WILLOW GROVE, PA

Past

February 4, 2005 - July 2, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WILLOW GROVE, PA

Past

December 1, 2004 - July 2, 2012

SECURITIES AMERICA, INC.

CRD#: 10205

WILLOW GROVE, PA

Past

June 26, 1990 - December 17, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 21, 1990 - May 8, 1990

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 4, 1988 - March 13, 1990

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Arizona
(8/27/2021)

IAR

California
(7/27/2021)

IAR

Connecticut
(1/4/2023)

IAR

Delaware
(1/3/2024)

IAR

Florida
(10/25/2021)

Georgia
(1/17/2023)

IAR

Georgia
(1/17/2023)

IAR

Maryland
(7/27/2021)

IAR

Massachusetts
(10/8/2021)

IAR

Michigan
(7/28/2021)

IAR

Mississippi
(6/29/2023)

IAR

New Jersey
(5/6/2021)

New Jersey
(7/29/2021)

IAR

New York
(11/16/2022)

IAR

North Carolina
(7/30/2021)

IAR

Oregon
(11/1/2021)

IAR

Pennsylvania
(5/6/2021)

Pennsylvania
(5/21/2021)

IAR

South Carolina
(8/5/2021)

IAR

Texas
(5/5/2021)

IAR

Utah
(4/1/2025)

IAR

Virginia
(7/28/2021)

IAR

Washington
(7/26/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1990

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: 8/17/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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 P. Sarappo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

APW CAPITAL, INC.

RETIREMENT PLANNING SPECIALISTS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

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

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/2012

Series 63

Date: 7/13/1990

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1993

Series 6

Date: 10/3/1988

FINRA

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.

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