Joseph A. Berkel

MCNALLY FINANCIAL SERVICES

Austin, TX

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CRD#: 2167611

Professional summary

Joseph Anthony Berkel, who also goes by Joe Berkel, is a registered financial advisor currently at MCNALLY FINANCIAL SERVICES CORPORATION located in Austin, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Berkel

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.

INDEPENDENT INSURANCE AGENT SINCE 1991 THAT SELLS LIFE, DISABILITY, MEDICAL, AND LONG TERM CARE INSURANCE. NOT INVESTMENT RELATEED AND LOCATED AT 312 Mira beau Way, Liberty Hill, TX 78642. APPROXIMATE HOURS EACH WEEK SELLING INSURANCE, 5. SPORTS OFFICIATING, NON-INVESTMENT RELATED, 312 Mirabeau Way LIberty Hill, TX 78642, OWNER, 1977, HOURS VARIABLE. CO-TRUSTEE OF THE ANNE PARKMAN NOBLE THYM TESTAMENTARY TRUST #2, INVESTMENT RELATED, VARIABLE HOURS. CO-TRUSTEE OF THE ANNE PARKMAN NOBLE THYM TESTAMENTARY TRUST #1, INVESTMENT RELATED, VARIABLE HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Berkel'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

September 14, 2007 - Present

MCNALLY FINANCIAL SERVICES CORPORATION

RIA

CRD#: 121196

Austin, TX

Current

November 4, 2003 - Present

MCNALLY FINANCIAL SERVICES CORPORATION

Office #1: 16414 San Pedro Suite 930, San Antonio, TX 78232

RIA

CRD#: 121196

San Antonio, TX

Past

May 16, 2000 - July 24, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

May 16, 2000 - July 24, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 9, 1999 - May 19, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

September 26, 1991 - August 26, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 26, 1991 - August 26, 1999

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.

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

New York
(4/16/2007)

Texas
(11/4/2003)

IAR

Texas
(9/14/2007)

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: 7/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MCNALLY FINANCIAL SERVICES CORPORATION

CRD#: 121196 / SEC#: , 8-65388

California

Registered Investment Advisory firm - SEC (11/9/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (3/4/2016 Approved)

Nevada

Registered Investment Advisory firm - SEC (8/27/2014 Approved)

North Carolina

Registered Investment Advisory firm - SEC (10/10/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (8/20/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

16414 San Pedro Suite 930, San Antonio, TX 78232-5185

Mailing Address

P.o. Box 701928, San Antonio, TX 78270-1928

Phone number

(210) 545-7080

Established

Texas since 04/11/2002

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MCNALLY, DAVID DORN	CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER	839798

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 25,149,615

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Joseph A. Berkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MCNALLY FINANCIAL SERVICES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NYLIFE SECURITIES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/1999

Series 63

Date: 9/12/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1991

FINRA

Current Firm

MCNALLY FINANCIAL SERVICES CORPORATION

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MCNALLY FINANCIAL SERVICES CORPORATION

TRUST BUT VERIFY

Contact information

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