Joseph R. Julian

ALTES CAPITAL

NEW YORK, NY 10020

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CRD#: 2233025

Professional summary

Joseph Richard Julian is a registered financial advisor currently at ALTES CAPITAL, LLC located in New York, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 3, Series 4 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Richard Julian'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 21, 2025 - Present

ALTES CAPITAL, LLC

Office #1: 1 Rockefeller Plaza Second Floor, New York, NY 10020

RIA

CRD#: 331481

NEW YORK, NY

Past

October 3, 2017 - November 10, 2017

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

November 17, 2016 - August 27, 2024

HIGHMORE GROUP

RIA

CRD#: 174419

LOS ANGELES, CA

Past

August 25, 2015 - December 31, 2015

HIGHMORE GROUP

RIA

CRD#: 174419

LOS ANGELES, CA

Past

July 21, 2011 - September 3, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LOS ANGELES, CA

Past

May 24, 2010 - September 3, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

LOS ANGELES, CA

Past

April 18, 2007 - January 8, 2010

WITENBERG INVESTMENT COMPANIES, INC.

CRD#: 42372

BEVERLY HILLS, CA

Past

March 18, 2005 - July 5, 2005

LIBERTY GROUP, LLC

CRD#: 106036

OAKLAND, CA

Past

March 17, 2005 - July 5, 2005

LIBERTY GROUP, LLC

RIA

CRD#: 114110

OAKLAND, CA

Past

January 16, 2002 - April 27, 2004

WITENBERG INVESTMENT COMPANIES, INC.

CRD#: 42372

BEVERLY HILLS, CA

Past

November 17, 2000 - January 11, 2002

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

Past

October 13, 2000 - November 2, 2000

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

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".

ALTES CAPITAL, LLC

ALTES | HIGHMORE CAPITAL, LLC | ALTES CAPITAL, LLC | ALTES CAPITAL

CRD#: 331481 / SEC#: 801-130444

RIA

Registered Investment Advisory firm - (7/17/2024 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
(1/21/2025)

IAR

Texas
(1/21/2025)

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: 8/9/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/18/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 4/27/1992

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 6/28/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2001

General Securities Principal Examination

Current Firm

ALTES CAPITAL, LLC

ALTES | HIGHMORE CAPITAL, LLC | ALTES CAPITAL, LLC | ALTES CAPITAL

CRD#: 331481 / SEC#: 801-130444

RIA

Registered Investment Advisory firm - (7/17/2024 Approved)

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Contact information

Main Address

1 Rockefeller Plaza Second Floor, New York, NY 10020

Mailing Address

Phone number

(646) 547-9080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/24/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 3,075,046,563

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 R. Julian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

HIGHMORE GROUP

HIGHMORE GROUP

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WITENBERG INVESTMENT COMPANIES, INC.

LIBERTY GROUP, LLC

LIBERTY GROUP, LLC

WITENBERG INVESTMENT COMPANIES, INC.

ACUMENT SECURITIES, INC.

ACUMENT SECURITIES, INC.

Primary Firm SEC Registration

ALTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2011

Series 63

Date: 10/26/2000

SIE

Date: 11/10/2017

Series 55

Date: 11/18/2003

Series 7

Date: 10/12/2000

Series 3

Date: 4/27/1992

Series 4

Date: 6/28/2001

Series 24

Date: 1/31/2001

Current Firm

ALTES CAPITAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTES CAPITAL, LLC

TRUST BUT VERIFY

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