Joseph G. Seep

JOSEPH SEEP & ASSOCIATES

TEMPE, AZ

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CRD#: 2328661

Professional summary

Joseph Glen Seep, CFP®, who also goes by Jay Seep, is a registered financial advisor currently at JOSEPH SEEP & ASSOCIATES, LLC located in Tempe, Arizona.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Seep

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) A)JOSEPH SEEP & ASSOCIATES LLC. B) INVESTMENT RELATED - YES C) 4500 S LAKESHORE DR #280, TEMPE, AZ 85282 D) PROVIDING FINANCIAL PLANNING AND ADVISORY SERVICES FOR A FEE E) 09/30/2011 F) 80 HOURS PER MONTH G) 80 TRADING HOURS JOSEPH SEEP PROPRIETARY FIXED LIFE INSURANCE 1 HR PER WEEK APPROX 2K PER YEAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Glen Seep's 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: 2006

Experience

Current

October 10, 2001 - Present

JOSEPH SEEP & ASSOCIATES, LLC

RIA

CRD#: 117256

TEMPE, AZ

Past

May 9, 2007 - December 31, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TEMPE, AZ

Past

August 28, 2002 - May 9, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

TEMPE, AZ

Past

July 13, 1998 - August 30, 2002

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

SCOTTSDALE, AZ

Past

June 24, 1998 - July 6, 1998

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

Past

May 13, 1997 - July 1, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 24, 1993 - May 15, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Arizona
(10/10/2001)

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: 7/21/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/22/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOSEPH SEEP & ASSOCIATES, LLC

JOSEPH GLEN SEEP | PADGETT SEEP AND ASSOCIATES, LLC | PADGETT SEEP AND ASSOCIATES | JOSEPH SEEP & ASSOCIATES, LLC

CRD#: 117256 / SEC#:

Arizona

Registered Investment Advisory firm - (10/10/2001 Approved)

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Contact information

Main Address

Tempe, AZ

Mailing Address

Phone number

(480) 226-7793

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 35,430,899

Red Flags

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

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Joseph G. Seep

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Glen Seep's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

QUESTAR CAPITAL CORPORATION

GAINEY FINANCIAL SERVICES, INC.

GAINEY FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2000

Series 63

Date: 3/22/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/23/1999

Series 6

Date: 3/22/1993

Current Firm

JOSEPH SEEP & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOSEPH SEEP & ASSOCIATES, LLC

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