AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JM

Joseph N. Modica

MODICA FINANCIAL SERVICES
Lebanon, TN
Some features on this profile are disabled
CRD#: 2347951
JM

Professional summary

Joseph Nicholas Modica JR, CFP® is a registered financial advisor currently at MODICA FINANCIAL SERVICES located in Lebanon, Tennessee.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 2 firms and has passed the Series 63, Series 7 and Series 6 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 Nicholas Modica JR'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: 1992

Experience

Current

March 9, 2022 - Present

MODICA FINANCIAL SERVICES

RIA
CRD#: 135583
Lebanon, TN
Past

February 14, 2018 - December 31, 2021

MODICA FINANCIAL SERVICES

RIA
CRD#: 135583
Atascadero, CA
Past

June 15, 1993 - January 15, 1998

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA

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
(3/9/2022)
IAR
Tennessee
(7/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/14/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MF
MODICA FINANCIAL SERVICES
MODICA FINANCIAL & TAX SERVICES | MODICA JR. JOSEPH NICHOLAS | MODICA FINANCIAL SERVICES

CRD#: 135583 / SEC#:

California
Registered Investment Advisory firm - (3/9/2022 Approved)
Tennessee
Registered Investment Advisory firm - (7/1/2022 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
50 Harbor Pointe, Lebanon, TN 37087
Mailing Address
Phone number
(805) 712-4044
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts12
AUM (Assets Under Management)$ 3,093,239

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.

Company Information

MODICA FINANCIAL SERVICES

CRD#: 135583Lebanon, TN

TRUST BUT VERIFY

Monitor Joseph Modica

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.