Joseph R. Evans

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CRD#: 2358241

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Ray Evans, who also goes by Joe R Evans, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Aliases

Joe R Evans

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. Author, Cedar Fort Publishing; 2341 Frontage Rd, Springville, UT 84102; Non-investment Related. Started: 05/01/2010. Writing, book sales, signing, etc. 2. Insurance Agent, Evans Insurance & Asset Management. Sales of various insurance products and carriers. Located at . Start Date: ; approximately Hrs./Mo During Trading Hours. 3. Broker, IHC, located at 36 S State St, Salt Lake City, UT 84121; Non-investment Related; Health insurance sales; Started: 01/01/2000; receive trail compensation for past sales. 4. In capacity at Trajan, Joe will also act as an insurance agent selling fixed-indexed annuities. This will compromise approximately 30 hrs. per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 46173

NEW YORK, NY

Past

April 16, 1996 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 22, 1993 - April 9, 1996

MONY SECURITIES CORPORATION

CRD#: 4386

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".

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/21/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 Terminated)

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Contact information

Main Address

18700 North Hayden Road Suite 470, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 990-3300

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A (3/20/2026)

Regulatory assets under management

Total Number of Accounts	18,370
AUM (Assets Under Management)	$ 2,601,785,971

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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Advisor Monitoring

Firm Stability Insights

Joseph R. Evans

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ELE WEALTH SOLUTIONS, INC.

ELE ADVISORY SERVICES, INC

THE O.N. EQUITY SALES COMPANY

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

TRAJAN WEALTH, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2000

Series 63

Date: 7/9/1993

SIE

Date: 11/30/2017

Series 6

Date: 7/21/1993

Current Firm

TRAJAN WEALTH, L.L.C.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAJAN WEALTH, L.L.C.

TRUST BUT VERIFY

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