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JS

Joseph E. Sarazen

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CRD#: 2839078
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Eugene Sarazen was a registered financial advisor .

Joseph is a previously registered financial advisor and started their career in finance in 1997. Joseph had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 11, 2010 - November 1, 2013

STRATEGIC WEALTH ADVISORS GROUP

RIA
CRD#: 140977
SAN MATEO, CA
Past

May 5, 2010 - October 23, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
ROSEVILLE, CA
Past

July 6, 2006 - October 31, 2010

RETIREMENT WEALTH ADVISORS, INC.

RIA
CRD#: 140109
ROSEVILLE, CA
Past

October 31, 2005 - May 7, 2010

OSAIC SERVICES, INC.

BD
CRD#: 133763
ROSEVILLE, CA
Past

September 19, 2001 - January 12, 2007

CAMPAIGNE FINANCIAL GROUP

RIA
CRD#: 113053
ROSEVILLE, CA
Past

January 20, 1998 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

September 19, 1997 - June 29, 1999

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/21/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SW
STRATEGIC WEALTH ADVISORS GROUP
AFFINITY WEALTH PLANNING | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT | WEALTH PLANNING GROUP | VIREN AND ASSOCIATES | TURNING LEAF FINANCIAL GROUP | THE STEPHENSON COMPANY | THE FINANCIAL SERVICES NETWORK | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STADJUHAR WEALTH STRATEGISTS | SONOMA COUNTY WEALTH ADVISORS | SMITH & KOBRIN | SLANKSTER FINANCIAL | SELECT WEALTH ADVISORS | SCHNEIDER FINANCIAL ADVISORS | ROCCO & ASSOCIATES WEALTH MANAGEMENT | RG FINANCIAL PARTNERS | RETIREMENT WEALTH ADVISORS, INC. | RENAISSANCE WEALTH MANAGEMENT GROUP, LLC | RENAISSANCE WEALTH MANAGEMENT | RAU FINANCIAL STRATEGIES | RAHN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS | NURTURED WEALTH | NEW SPRING FINANCIAL PLANNING | MULTIGEN WEALTH SERVICES | MILLS WEALTH MANAGEMENT GROUP | MERCER PUTNEY FINANCIAL ADVISORS | MARSHALL WEALTH MANAGEMENT GROUP | LIGHTHOUSE STRATEGIC ADVISORS | LEGACY PLANNERS | KUTSURELIS AND MILLER | KUHLMANN ASSOCIATES FINANCIAL | KUBIN FINANCIAL SERVICES | KLEIN INVESTMENT STRATEGIES | JBT FINANCIAL | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | GRP WEALTH STRATEGIES GROUP | GROOMS WEALTH MANAGEMENT, LLC | GOOD HARBOR FINANCIAL | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | FINANCIAL PLANNING ADVISORY SERVICES | EQUITY DEVELOPMENT | DYNAMIC CAPITAL MANAGEMENT | DFG WEALTH ADVISORS | DALE Q. RICE INVESTMENT MANAGEMENT | COMMON SENSONOMICS WEALTH MANAGEMENT | COLORADO WEST INVESTMENTS INC. | CLARK BENEFITS | CLARITY FINANCIAL PLANNING AND CLARITY WEALTH MANAGEMENT | CENTER FOR FINANCIAL MANAGEMENT | CAMINO ADVISORS | BROWN FINANCIAL SERVICES, GROUP | BIG TREES WEALTH MANAGEMENT | BELLWETHER FINANCIAL SERVICES | AQUARIS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS | AMA WEALTH MANAGEMENT

CRD#: 140977 / SEC#: 801-67001

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Contact information

Main Address
411 Borel Avenue, Suite 620, San Mateo, CA 94402
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

STRATEGIC WEALTH ADVISORS GROUP, INC. ADVISORY SERVICES BROCHURE (8/31/2015)

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.

Company Information

STRATEGIC WEALTH ADVISORS GROUP

CRD#: 140977

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