Joseph A. Mcaraw

PRINCIPLE WEALTH

PALM BEACH GARDENS, FL

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CRD#: 2275117

Professional summary

Joseph Addison Mcaraw is a registered financial advisor currently at PRINCIPLE WEALTH located in Palm Beach Gardens, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Joseph has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.

1.) INSURANCE LICENSED 2.) 09/04/2013 - GSD LLC - ENTITY FOR ACCOUNTING PURPOSES ONLY - LLC THAT WILL PAY OUT SALARIES TO ASSISTANTS AND PAY ADVISOR HIS COMMISSIONS BUSINESS BANK ACCOUNT - 1% OF TIME SPENT - OLD SAYBROOK, CT 3.) 2/7/2017 - Integrity Partners, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 05/30/14 - 20 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Addison Mcaraw'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

December 8, 2020 - Present

PRINCIPLE WEALTH

RIA

CRD#: 290180

PALM BEACH GARDENS, FL

Past

June 9, 2014 - February 10, 2021

NORTHSTAR WEALTH PARTNERS LLC

RIA

CRD#: 169409

Old Saybrook, CT

Past

July 10, 2013 - January 25, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

OLD SAYBROOK, CT

Past

July 10, 2013 - February 24, 2021

LPL FINANCIAL LLC

CRD#: 6413

OLD SAYBROOK, CT

Past

November 25, 2003 - August 5, 2013

ESSEX FINANCIAL SERVICES, INC.

RIA

CRD#: 127549

ESSEX, CT

Past

November 25, 2003 - August 5, 2013

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

ESSEX, CT

Past

January 26, 1999 - November 19, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ESSEX, CT

Past

November 25, 1998 - November 19, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 20, 1997 - November 24, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 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

Connecticut
(12/8/2020)

IAR

Florida
(10/20/2021)

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 66

Date: 10/27/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/1997

General Securities Representative Examination

Current Firm

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

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Contact information

Main Address

670 Boston Post Road, Madison, CT 06443

Mailing Address

Po Box 1007, Madison, CT 06443

Phone number

(203) 318-8892

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts	3,732
AUM (Assets Under Management)	$ 2,658,955,480

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/13/2024	Cover Page	Report
05/09/2023	Cover Page	Report

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 A. Mcaraw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Addison Mcaraw's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHSTAR WEALTH PARTNERS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PRINCIPLE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/6/1997

Current Firm

PRINCIPLE WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPLE WEALTH

TRUST BUT VERIFY

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