JF
Joseph A. Fischetti
DELTA FINANCIAL ADVISORS,
Kensington, MD 20895-4015
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CRD#: 2748841
JF
Professional summary
Joseph Anthony Fischetti, who also goes by Joe Fischetti, is a registered financial advisor currently at DELTA FINANCIAL ADVISORS, INC located in Kensington, Maryland and REGULUS FINANCIAL GROUP, LLC located in Kensington, Maryland.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 5 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Fischetti
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) Broker-Dealer Registered Representative for Regulus, LLC since 8/24/2015. Located at: 10539 Metropolitan Avenue, Kensington, MD 20895. Investment-related. 2) Joseph is the Sargent at Arms for the Exhiled Soul Motorcycle Club. He assists with club operations and does not receive compensation. This take 30 hours per month with 0 during trading hours. 3) Business Name: Papis OC - Investment Related: No - Address: 1500 Philadelphia Ave, Ocean City, MD 21842 - Nature of Business: Restaurant - Title or Relationship: Passive Investor - Start Date: 8/1/2024 - Hours per month: 0 - Hours per month during trading hours: 0 - Duties: Passive outside investor 4) Delta Insurance Agency, LLC; Owner; Kensington, MD; Investment related insurance entity to run commissioned insurance sales through. Affiliated with Delta Financial Advisors. Less than 10 hours per week during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Fischetti'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®
NoneExperience
Current
January 5, 2021 - Present
DELTA FINANCIAL ADVISORS, INC
Office #1: 10539 Metropolitan Avenue, Kensington, MD 20895-4015RIA
CRD#: 121907
Kensington, MD
Current
August 24, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 10539 Metropolitan Ave, Kensington, MD 20895BD
CRD#: 150631
Kensington, MD
Past
October 19, 2017 - November 9, 2021
BEACON GLOBAL ADVISOR NETWORK, LLC
RIA
CRD#: 288833
Kensington, MD
Past
July 27, 2010 - August 24, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
KENSINGTON, MD
Past
November 30, 2004 - December 31, 2017
DELTA FINANCIAL ADVISORS, INC
RIA
CRD#: 121907
KENSINGTON, MD
Past
June 3, 1996 - June 29, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
KENSINGTON, MD
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".
DF
DELTA FINANCIAL ADVISORS, INC
DELTA FINANCIAL ADVISORS, INC
CRD#: 121907 / SEC#: 801-120897
RIA
Registered Investment Advisory firm - (4/22/2021 Approved)Maryland
Registered Investment Advisory firm - (5/14/2021 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (4/29/2021 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
Maryland(8/24/2015)
IAR
Maryland(1/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DELTA FINANCIAL ADVISORS, INC
DELTA FINANCIAL ADVISORS, INC
CRD#: 121907 / SEC#: 801-120897
RIA
Registered Investment Advisory firm - (4/22/2021 Approved)Maryland
Registered Investment Advisory firm - (5/14/2021 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (4/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10539 Metropolitan Avenue, Kensington, MD 20895-4015
Mailing Address
Phone number
(301) 962-0480
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 533 |
| AUM (Assets Under Management) | $ 208,474,407 |
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.
