Jeffrey Joseph

JEFFREY JOSEPH MANAGEMENT

Thousand Oaks, CA

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CRD#: 2767367

Professional summary

Jeffrey Joseph is a registered financial advisor currently at JEFFREY JOSEPH MANAGEMENT located in Thousand Oaks, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jeffrey has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 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 Jeffrey Joseph'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®

None

Experience

Current

January 22, 2024 - Present

JEFFREY JOSEPH MANAGEMENT

RIA

CRD#: 329679

Thousand Oaks, CA

Past

November 28, 2016 - December 7, 2023

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

August 15, 2014 - October 18, 2016

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Encino, CA

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

July 31, 2008 - October 18, 2016

ASSETMARK, INC.

RIA

CRD#: 109018

ENCINO, CA

Past

March 3, 2008 - November 18, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 27, 2006 - July 31, 2008

GENWORTH FINANCIAL ASSET MANAGEMENT, INC

RIA

CRD#: 105771

ENCINO, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(1/22/2024)

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

Series 63

Date: 4/4/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/21/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/29/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/30/2010

Investment Company Products/Variable Contracts Principal Examination

Current Firm

JEFFREY JOSEPH MANAGEMENT

JEFFREY JOSEPH MANAGEMENT | JEFFREY JOSEPH MANAGEMENT, INC.

CRD#: 329679 / SEC#:

California

Registered Investment Advisory firm - (1/22/2024 Approved)

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Contact information

Main Address

Thousand Oaks, CA

Mailing Address

2060 D Avenida De Los Arboles # 218, Thousand Oaks, CA 91362-1361

Phone number

(805) 231-0489

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 105,372,083

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeffrey Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALPHA CUBED INVESTMENTS, LLC

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

GENWORTH FINANCIAL ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/2008

Series 65

Date: 7/21/2000

SIE

Date: 10/18/2016

Series 6

Date: 2/29/2008

Series 26

Date: 6/30/2010

Current Firm

JEFFREY JOSEPH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JEFFREY JOSEPH MANAGEMENT

TRUST BUT VERIFY

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