Joseph P. Traba

STRATEGY ASSET MANAGERS L.L.C.

Pasadena, CA 91101

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CRD#: 2749525

Professional summary

Joseph Peter Traba, who also goes by Joe Peter Traba, Joseph Traba, is a registered financial advisor currently at STRATEGY ASSET MANAGERS L.L.C. located in Pasadena, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Peter Traba | Joseph Traba

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.) STRATEGY ASSET MANAGERS - 2/1/2020 - 790 E. Colorado Blvd, Suite 200 PASADENA, CA 91101 - Managing Director and Sr. Portfolio Manager, Manage Portfolios, Invt Rel, 80 hrs/mo; 80 hrs/mo (during trading hours). 2.) Strategy Insurance Services, LLC; Investment Related; 790 E. Colorado Blvd., Suite 200,Pasadena, CA 91101; Insurance Agency; Insurance Agent; 01/10/2023; 20 hours per month; 5 hours per month during securities trading hours; Sales and marketing of insurance products to clients and prospects.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Peter Traba'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

February 3, 2020 - Present

STRATEGY ASSET MANAGERS L.L.C.

Office #1: 790 E. Colorado Blvd Suite 200, Pasadena, CA 91101

RIA

CRD#: 109939

Pasadena, CA

Current

April 30, 2014 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

Summit, NJ

Past

February 18, 2014 - April 29, 2014

KEY WEST INVESTMENTS, LLC

CRD#: 149418

SAN GABRIEL, CA

Past

September 21, 2011 - February 24, 2020

STONEMARK WEALTH MANAGEMENT

RIA

CRD#: 158413

PASADENA, CA

Past

May 17, 2011 - January 28, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

PASADENA, CA

Past

June 3, 2010 - May 2, 2011

SENTINEL SECURITIES, LLC.

CRD#: 110942

PASENDA, CA

Past

March 2, 2010 - January 11, 2012

WESPAC ADVISORS, LLC

RIA

CRD#: 148242

ORINDA, CA

Past

December 10, 2008 - June 22, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 10, 2008 - June 22, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

May 17, 2004 - December 31, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

May 28, 1997 - December 31, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

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".

STRATEGY ASSET MANAGERS L.L.C.

HOLLY STREET WEALTH ADVISORS | STRATEGY ASSET MANAGERS L.L.C.

CRD#: 109939 / SEC#: 801-60049

RIA

Registered Investment Advisory firm - (2/23/2001 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.

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

Arizona
(2/29/2024)

California
(4/30/2014)

IAR

California
(2/3/2020)

Colorado
(8/19/2024)

Hawaii
(9/11/2023)

New Jersey
(6/29/2022)

Oregon
(4/18/2024)

IAR

Texas
(2/3/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/28/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/27/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/23/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRATEGY ASSET MANAGERS L.L.C.

HOLLY STREET WEALTH ADVISORS | STRATEGY ASSET MANAGERS L.L.C.

CRD#: 109939 / SEC#: 801-60049

RIA

Registered Investment Advisory firm - (2/23/2001 Approved)

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Contact information

Main Address

790 E. Colorado Blvd Suite 200, Pasadena, CA 91101

Mailing Address

Phone number

(626) 657-0559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGY ASSET MANGERS, LLC FORM ADV 2A (4/30/2025)

Regulatory assets under management

Total Number of Accounts	1,099
AUM (Assets Under Management)	$ 741,546,605

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 P. Traba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Peter Traba's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

KEY WEST INVESTMENTS, LLC

STONEMARK WEALTH MANAGEMENT

GIRARD SECURITIES, INC.

SENTINEL SECURITIES, LLC.

WESPAC ADVISORS, LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

STRATEGY ASSET MANAGERS L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/1997

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/28/2000

Series 7

Date: 5/27/1997

Series 4

Date: 7/23/2008

Series 24

Date: 12/1/2006

FINRA

Current Firm

STRATEGY ASSET MANAGERS L.L.C.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGY ASSET MANAGERS L.L.C.

TRUST BUT VERIFY

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