Joseph E. Hubbard

WHIPPLEWOOD ADVISORS

Littleton, CO 80127

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CRD#: 2128362

Professional summary

Joseph Ernest Hubbard, CFP® is a registered financial advisor currently at WHIPPLEWOOD ADVISORS, LLC located in Littleton, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SELF-EMPLOYED, CPA, TAX PREPARATION FOR A SMALL NUMBER OF CLIENTS. 20 HRS/YR. PAID FOR SERVICES PERFORMED. NOT INVESTMENT RELATED Whipplewood CPAs, CPA, TAX PREPARATION FOR A SMALL NUMBER OF CLIENTS. 20 HRS/YR. PAID FOR SERVICES PERFORMED. NOT INVESTMENT RELATED Insurance Sales, Licensed Insurance Agent with State of Colorado, Provide Insurance products through various Insurance companies, Less than 10% of time monthly

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Ernest Hubbard'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: 2002

Experience

Current

February 3, 2020 - Present

WHIPPLEWOOD ADVISORS, LLC

Office #1: 11852 Shaffer Drive Building B, Littleton, CO 80127

RIA

CRD#: 282860

Littleton, CO

Past

April 26, 2010 - February 4, 2020

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

April 26, 2010 - February 4, 2020

FFEC WEALTH PARTNERS LLC

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

May 16, 2006 - April 16, 2010

TRUENORTH, INC.

RIA

CRD#: 110198

DENVER, CO

Past

May 16, 2006 - April 16, 2010

IMA WEALTH

CRD#: 112091

DENVER, CO

Past

March 15, 2004 - April 10, 2006

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

March 21, 1991 - December 31, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 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

Colorado
(2/3/2020)

IAR

Texas
(2/3/2020)

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: 11/15/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 5/9/2017

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

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Contact information

Main Address

11852 Shaffer Drive Building B, Littleton, CO 80127

Mailing Address

Phone number

(303) 989-7600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	371
AUM (Assets Under Management)	$ 288,037,168

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 E. Hubbard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

TRUENORTH, INC.

IMA WEALTH

UMB FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

WHIPPLEWOOD ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2018

Series 63

Date: 5/9/1991

SIE

Date: 10/1/2018

Series 22

Date: 5/9/2017

Series 6

Date: 1/28/2004

Current Firm

WHIPPLEWOOD ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHIPPLEWOOD ADVISORS, LLC

TRUST BUT VERIFY

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