Joseph N. Barretto

ABACUS WEALTH INTERNATIONAL (AWI)

Santa Ana, CA 92707

Some features on this profile are disabled

CRD#: 2124619

Professional summary

Joseph Nievera Barretto, CFP®, who also goes by Joel Barretto, is a registered financial advisor currently at ABACUS WEALTH INTERNATIONAL (AWI) located in Santa Ana, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Joseph has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joel Barretto

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.name of the other business: N/A; whether the business is investment-related: N; address of the other business: 132 East Dyer Rd. Santa Ana,CA,92707; the nature of the other business: insurance sales; your position, title, or relationship with the other business: Independently Licenced Insurance Agent; the start date of your relationship: 4/21/2020 the approximate number of hours/month you devote to the other business: 8 hours the number of hours you devote to the other business during securities trading hours:8 hours; and briefly describe your duties relating to the other business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Nievera Barretto's 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: 2006

Experience

Current

June 4, 2020 - Present

ABACUS WEALTH INTERNATIONAL (AWI)

Office #1: 132 East Dyer Rd., Santa Ana, CA 92707

RIA

CRD#: 308998

Santa Ana, CA

Past

January 21, 2020 - October 19, 2021

CROSS BORDER WEALTH, LLC

RIA

CRD#: 288330

Alabang, Muntinlupa,

Past

April 24, 2009 - December 31, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ESCONDIDO, CA

Past

April 21, 2009 - December 31, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ESCONDIDO, CA

Past

April 21, 2005 - April 3, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

IRVINE, CA

Past

January 22, 2005 - April 3, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

IRVINE, CA

Past

March 31, 1999 - February 1, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 1, 1999 - April 1, 1999

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

July 10, 1993 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

March 19, 1993 - June 30, 1993

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

September 9, 1991 - August 19, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 9, 1991 - August 19, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(6/4/2020)

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: 3/16/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/1991

General Securities Representative Examination

Current Firm

ABACUS WEALTH INTERNATIONAL (AWI)

ABACUS WEALTH INTERNATIONAL (AWI) | BARRETTO, JOSEPH NIEVERA | BARRETTO, JOEL

CRD#: 308998 / SEC#:

California

Registered Investment Advisory firm - (6/4/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

132 East Dyer Rd., Santa Ana, CA 92707

Mailing Address

Phone number

(949) 436-6083

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 1,428,000

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.

Similar Advisors

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph N. Barretto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CROSS BORDER WEALTH, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SUNAMERICA SECURITIES, INC.

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2005

Series 63

Date: 11/5/1991

SIE

Date: 12/31/2014

Series 7

Date: 9/5/1991

Current Firm

ABACUS WEALTH INTERNATIONAL (AWI)

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ABACUS WEALTH INTERNATIONAL (AWI)

TRUST BUT VERIFY

Similar Advisors