Joseph T. Lai

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CRD#: 2029025

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 Tsung Lai, who also goes by Tsunghsi Joseph Lai, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tsunghsi Joseph Lai

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)

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

October 6, 1999 - December 20, 2013

NOESIS CAPITAL MANAGEMENT CORP

RIA

CRD#: 110819

BOCA RATON, FL

Past

August 30, 1995 - December 31, 2002

ITA FINANCIAL SERVICES, LLC

CRD#: 38649

MIAMI, FL

Past

April 15, 1993 - August 8, 1995

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

BOCA RATON, FL

Past

January 29, 1992 - May 27, 1992

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

February 7, 1991 - January 29, 1992

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

November 27, 1990 - February 12, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

March 20, 1990 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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".

NOESIS CAPITAL MANAGEMENT CORP

CRD#: 110819 / SEC#: 801-49934

RIA

Registered Investment Advisory firm - (9/5/1995 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

Series 63

Date: 4/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

Current Firm

NOESIS CAPITAL MANAGEMENT CORP

CRD#: 110819 / SEC#: 801-49934

RIA

Registered Investment Advisory firm - (9/5/1995 Approved)

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Contact information

Main Address

Fountain Square 2700 North Military Trail Suite 210, Boca Raton, FL, 33431

Mailing Address

Phone number

(561) 999-9888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOESIS ADV PART 2A (11/19/2025)

Regulatory assets under management

Total Number of Accounts	851
AUM (Assets Under Management)	$ 876,873,175

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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Joseph T. Lai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NOESIS CAPITAL MANAGEMENT CORP

ITA FINANCIAL SERVICES, LLC

NOBLE CAPITAL MARKETS, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BILTMORE SECURITIES, INC.

CHATFIELD DEAN & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

NOESIS CAPITAL MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/1990

Series 7

Date: 3/17/1990

Current Firm

NOESIS CAPITAL MANAGEMENT CORP

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOESIS CAPITAL MANAGEMENT CORP

TRUST BUT VERIFY

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