Joseph J. Maltese
ALLEGIANCE FINANCIAL ADVISORS
Jacksonville, FL 32246-3712
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CRD#: 2615850
Professional summary
Joseph James Maltese, CFP®, ChFC®, CLU®, who also goes by Joseph J Maltese, is a registered financial advisor currently at ALLEGIANCE FINANCIAL ADVISORS, INC. located in Jacksonville, Florida and OSAIC WEALTH, INC. located in Jacksonville, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Estate Planning
Divorce Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Joseph J Maltese
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. THE AMERICAN LEGION POSITION: S.A.L Commander NATURE: 501(c)19 - Veterans Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/02/2017 ADDRESS: 4280 Oldfield Crossing, Jacksonville FL 32223, United States DESCRIPTION: Train young men on the functions of the American Legion, U.S. History, Flag Etiquette. Organize events that help veterans. 2. DELLA PORTA AGENCY, LLC POSITION: Insurance Broker NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 67 SECURITIES TRADING HOURS: 67 START DATE: 05/15/1995 ADDRESS: 3112 St. Johns Bluff Road S, Jacksonville FL 32246, United States DESCRIPTION: Insurance broker 3. DP BROKERAGE, INC. POSITION: Insurance Broker NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 02/24/2005 ADDRESS: 3112 St. Johns Bluff Road S, Jacksonville FL 32246, United States DESCRIPTION: Insurance broker - sale of fixed insurance products 4. ALLEGIANCE FINANCIAL ADVISORS, INC./ POSITION: Advisor NATURE: C Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 75 START DATE: 07/30/2007 ADDRESS: 3112 St. Johns Bluff Road S, Jacksonville FL 32246, United States DESCRIPTION: Asset allocation and asset management of individual client accounts, financial planning 5. JOSEPH J. MALTESE FINANCIAL SERVICES, LLC POSITION: Member NATURE: LLC DBA used for marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/13/2017 ADDRESS: 3112 St. Johns Bluff Road S, Jacksonville FL 32246, United States DESCRIPTION: This DBA is a marketing entity only
CRS (Client Relationship Summary) - RIA
Click below to view Joseph James Maltese'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®
Start date: 2005
Experience
Current
January 11, 2008 - Present
ALLEGIANCE FINANCIAL ADVISORS, INC.
Office #1: 3112 St. Johns Bluff Road South, Jacksonville, FL 32246-3712RIA
CRD#: 127293
Jacksonville, FL
Current
November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 3112 St. Johns Bluff Rd. So., Jacksonville, FL 32246-3712RIA
BD
CRD#: 23131
Jacksonville, FL
Past
May 16, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 16, 1995 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
JACKSONVILLE, FL
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".
AF
ALLEGIANCE FINANCIAL ADVISORS, INC.
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
RIA
Registered Investment Advisory firm - (5/27/2021 Approved)Florida
Registered Investment Advisory firm - (6/3/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/3/2021 Terminated)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
Alabama(8/19/2021)
RR
Arizona(5/10/2022)
RR
California(11/2/2018)
RR
Colorado(11/2/2018)
IAR
Florida(1/11/2008)
RR
Florida(11/2/2018)
IAR
Georgia(11/22/2016)
RR
Georgia(11/2/2018)
RR
Massachusetts(3/20/2019)
RR
Missouri(11/2/2018)
RR
Tennessee(3/22/2019)
RR
Texas(1/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLEGIANCE FINANCIAL ADVISORS, INC.
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
RIA
Registered Investment Advisory firm - (5/27/2021 Approved)Florida
Registered Investment Advisory firm - (6/3/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/3/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3112 St. Johns Bluff Road South, Jacksonville, FL 32246-3712
Mailing Address
Phone number
(904) 642-4401
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 443 |
| AUM (Assets Under Management) | $ 154,045,384 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293Jacksonville, FL 32246-3712TRUST BUT VERIFY
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Contact information
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