Joseph D. Speciale

ONE HOPPER ASSET MANAGEMENT

UTICA, NY 13501

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CRD#: 2815121

Professional summary

Joseph Dominick Speciale is a registered financial advisor currently at ONE HOPPER ASSET MANAGEMENT located in Utica, New York and LEIGH BALDWIN & CO., LLC located in Utica, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

INSURANCE - TERM, LONG TERM CARE, HEALTH - <5 HRS/MONTH - NON INVESTENT RELATED 6/2012: TRUSTEE FOR IRREVOCABLE TRUST, SPECIALE IRREVOCABLE GIFT TRUST, ACTIVITIES AS TRUSTEE ARE NOT INVESTMENT RELATED, BUT MAY AT SOME POINT ACT AS BROKER ON THE ACCOUNT, MINIMAL TIME SPENT DURING MARKET HOURS, NO OWNERSHIP. 3/15: SPECIALE FIREWORKS INC. NON INVESTMENT RELATED, FIREWORKS RETAIL SALE, 100% OWNER, 40 DAYS/YEAR, MINIMAL DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dominick Speciale'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

January 6, 2022 - Present

ONE HOPPER ASSET MANAGEMENT

Office #1: 1 Hopper Street, Utica, NY 13501

RIA

CRD#: 168816

UTICA, NY

Current

April 26, 2000 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 2520 Genesee Street, Utica, NY 13502

RIA

CRD#: 38751

UTICA, NY

Past

June 30, 1998 - April 25, 2000

ALEXANDER, WESCOTT, & CO., INC.

CRD#: 35935

UTICA, NY

Past

March 5, 1998 - April 15, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

ONE HOPPER ASSET MANAGEMENT

BROOKS, WAYNE I | ONE HOPPER ASSET MANAGEMENT

CRD#: 168816 / SEC#: 801-126078

RIA

Registered Investment Advisory firm - (7/13/2022 Approved)

Florida

Registered Investment Advisory firm - (3/1/2023 Terminated)

New York

Registered Investment Advisory firm - (3/1/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(6/23/2015)

California
(1/8/2016)

Florida
(11/23/2021)

IAR

Florida
(1/21/2022)

Massachusetts
(5/24/2021)

New York
(4/26/2000)

IAR

New York
(1/6/2022)

Texas
(1/8/2016)

Virginia
(5/7/2004)

Wyoming
(3/12/2013)

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

IAR

Series 65

Date: 12/31/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ONE HOPPER ASSET MANAGEMENT

BROOKS, WAYNE I | ONE HOPPER ASSET MANAGEMENT

CRD#: 168816 / SEC#: 801-126078

RIA

Registered Investment Advisory firm - (7/13/2022 Approved)

Florida

Registered Investment Advisory firm - (3/1/2023 Terminated)

New York

Registered Investment Advisory firm - (3/1/2023 Terminated)

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Contact information

Main Address

1 Hopper Street, Utica, NY 13501

Mailing Address

Phone number

(315) 734-1410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONE HOPPER ASSET MANAGEMENT ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 51,664,376

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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Firm Stability Insights

Joseph D. Speciale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

ALEXANDER, WESCOTT, & CO., INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

ONE HOPPER ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/2021

Series 63

Date: 2/26/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/23/1998

Series 6

Date: 2/26/1998

FINRA

Current Firm

ONE HOPPER ASSET MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONE HOPPER ASSET MANAGEMENT

TRUST BUT VERIFY

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