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
JS

Joseph Stein

TIMECAPITAL INVESTOR ADVISORY SERVICES
Lloyd Harbor, NY
Some features on this profile are disabled
CRD#: 2370641
JS

Professional summary

Joseph Stein is a registered financial advisor currently at TIMECAPITAL INVESTOR ADVISORY SERVICES INC located in Lloyd Harbor, New York and TIMECAPITAL SECURITIES CORPORATION located in Port Jefferson Station, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 2 firms and has passed the Series 65, Series 63, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stein'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 9, 2024 - Present

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

RIA
CRD#: 105672
Lloyd Harbor, NY
Current

March 22, 1994 - Present

TIMECAPITAL SECURITIES CORPORATION

Office #1: One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336
BD
CRD#: 6845
Port Jefferson Station, 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".
TI
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
TIMECAPITAL INVESTOR ADVISORY SERVICES INC

CRD#: 105672 / SEC#: 801-11732

RIA
Registered Investment Advisory firm - (7/29/1976 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.
RR
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

RR
California
(4/26/2001)
RR
Connecticut
(6/1/2006)
RR
District of Columbia
(1/3/2005)
RR
Florida
(4/25/2001)
RR
New Jersey
(12/15/2004)
RR
New York
(5/23/1996)
IAR
New York
(5/9/2024)
RR
Texas
(2/16/2001)
RR
Virginia
(5/3/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
TIMECAPITAL INVESTOR ADVISORY SERVICES INC

CRD#: 105672 / SEC#: 801-11732

RIA
Registered Investment Advisory firm - (7/29/1976 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
One Roosevelt Avenue, Port Jefferson Station, NY 11776
Mailing Address
Phone number
(631) 331-1400
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TCIA ADV PART 2 BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts496
AUM (Assets Under Management)$ 232,056,930

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

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

CRD#: 105672Lloyd Harbor, NY

TRUST BUT VERIFY

Monitor Joseph Stein

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.