Joseph Mcginley

ELLIS INVESTMENT PARTNERS

San Jose, CA

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CRD#: 2106077

Professional summary

Joseph Mcginley, who also goes by Joseph Mcginely, Joe Mcginley, is a registered financial advisor currently at ELLIS INVESTMENT PARTNERS, LLC located in San Jose, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Joseph has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Mcginely | Joe Mcginley

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.

(1.) SAG-AFTRA San Francisco-Norther California - Labor Union; Member of the Board of Directors for; approx. 10 hours per month. Not investment related. Not during trading hours. (2.) Hunters Point Biomonitoring Foundation; Member of the Board of Directors; approx. 5 hours per month. Not investment related. Not during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Mcginley'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

January 8, 2025 - Present

ELLIS INVESTMENT PARTNERS, LLC

RIA

CRD#: 157669

San Jose, CA

Past

January 2, 2014 - May 2, 2017

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

SAN FRANCISCO, CA

Past

March 20, 2013 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

CRD#: 8509

SAN FRANCISCO, CA

Past

May 12, 2010 - April 4, 2013

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA

CRD#: 109355

BOSTON, MA

Past

November 10, 2009 - April 4, 2013

FEDERATED SECURITIES CORP.

RIA

CRD#: 5009

PITTSBURGH, PA

Past

August 20, 2007 - April 4, 2013

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

PITTSBURGH, PA

Past

June 18, 2007 - April 4, 2013

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

March 28, 2007 - June 6, 2007

CINCINNATI ANALYSTS, INC.

CRD#: 5478

WASHINGTON CROSSING, PA

Past

September 30, 1998 - August 22, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRINCETON, NJ

Past

February 22, 1996 - October 16, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 22, 1996 - October 16, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 4, 1991 - February 23, 1996

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

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".

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 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.

Highlighted states indicate IAR registrations

IAR

California
(1/8/2025)

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: 12/19/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/17/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/31/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/28/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 Approved)

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Contact information

Main Address

920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312

Mailing Address

Phone number

(484) 320-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	823
AUM (Assets Under Management)	$ 916,741,818

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 Mcginley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIS BROKERAGE & SECURITIES SERVICES LLC

SUNGARD INSTITUTIONAL BROKERAGE INC.

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

FEDERATED SECURITIES CORP.

FEDERATED INVESTMENT COUNSELING

FEDERATED SECURITIES CORP.

CINCINNATI ANALYSTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

ELLIS INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2024

Series 66

Date: 8/17/2007

Series 63

Date: 3/5/1991

SIE

Date: 5/2/2017

Series 7

Date: 5/31/1996

Series 6

Date: 2/28/1991

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIS INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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