Joseph A. Stueber

J.W. COLE FINANCIAL

Wauwatosa, WI 53226

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CRD#: 2239272

Professional summary

Joseph Arthur Stueber is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Wauwatosa, Wisconsin.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Joseph Arthur Stueber'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

May 20, 2011 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 2600 N. Mayfair Road Suite 1080, Wauwatosa, WI 53226

CRD#: 124583

Wauwatosa, WI

Past

March 12, 2004 - May 23, 2011

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

MILWAUKEE, WI

Past

February 2, 2004 - March 29, 2004

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MINOT, ND

Past

November 3, 2000 - June 27, 2003

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

January 6, 1998 - November 7, 2000

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

November 2, 1995 - July 10, 1996

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

September 17, 1992 - August 7, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 17, 1992 - August 7, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(5/7/2019)

Arizona
(7/25/2017)

Arkansas
(9/15/2022)

California
(9/3/2021)

Colorado
(3/2/2017)

Florida
(5/20/2011)

Georgia
(8/25/2021)

Hawaii
(7/6/2020)

Illinois
(5/20/2011)

Indiana
(6/14/2023)

Iowa
(8/20/2021)

Kentucky
(10/3/2019)

Massachusetts
(1/22/2024)

Michigan
(6/30/2016)

Minnesota
(7/28/2017)

Missouri
(10/31/2012)

Nevada
(8/10/2021)

New Jersey
(2/11/2022)

North Carolina
(3/14/2013)

Ohio
(7/17/2020)

Oregon
(2/22/2018)

Tennessee
(3/28/2024)

Texas
(11/15/2022)

Wisconsin
(5/20/2011)

Exams

State Security Law Exam

Series 63

Date: 1/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/15/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

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

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

Phone number

(813) 935-6776

Established

Florida since 10/14/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JWC WEALTH PARTNERS	OWNER
FUSSA OCASIO, FERNANDO	CFO/FINOP	2471569
LOFGREN, KURT WALKER	CHIEF COMPLIANCE OFFICER	3048472
PACK, TODD JAMES	CHIEF OPERATING OFFICER	2795590
WEST, EUGENE	DESIGNATED MUNICIPAL PRINCIPAL/ROSFP	2059974
WOOD, ROBERT JULIAN	TREASURER/SECRETARY/GP/CEO	3217809

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph A. Stueber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

FIRST MIDWEST SECURITIES, INC.

CAPITAL FINANCIAL SERVICES, INC.

NATIONAL PLANNING CORPORATION

HARBOUR INVESTMENTS, INC.

FFP SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/1993

SIE

Date: 10/1/2018

Series 6

Date: 9/15/1992

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.W. COLE FINANCIAL, INC.

TRUST BUT VERIFY

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