JT
Joseph E. Tocchini
AMERICAN INDEPENDENT SECURITIES GROUP
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 2915233
JT
Professional summary
Joseph Edward Tocchini is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Greenwood Village, Colorado.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1) CAPSTONE FINANCIAL SERVICES, LLC; OWNER, SOLE PROPRIETOR; PRESIDENT; START DATE 1/8/2008; 10 HRS PER MTH; NO COMPENSATION. 2) LIFE, HEALTH AND AND ACCIDENT INSURANCE. COMPENSATED THROUGH COMMISSIONS. 1997 TO PRESENT. 3) CFS TAX GROUP, LLC. 8400 E PRENTICE AVE SUITE 820 GREENWOOD VILLAGE, CO 80111. 100%OWNER. TAX PREPARATION/ACCOUNTING. 2 HRS/WEEK. NOT INVESTMENT RELATED. 8/2012 TO PRESENT. NOT COMPENSATED. 4) 5 LLCs for Tocchini Family Limited Partnership, not investment related, member of LLC- ea is it's own LLC)23 Grant Ave. LLC, SF CA, 1900 Union St. LLC SF CA,1898 Union St. LLC SF CA,2324 Chestnut St. LLC SF CA, 6967 Mission St LLC Daly City CA, starting 11/1/17, 1 hr/mo with none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Edward Tocchini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Edward Tocchini'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 30, 2012 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 6455 S Yosemite Street Suite 715, Greenwood Village, CO 80111RIA
BD
CRD#: 135288
Greenwood Village, CO
Current
January 30, 2012 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 6455 S Yosemite Street Suite 715, Greenwood Village, CO 80111RIA
BD
CRD#: 135288
Greenwood Village, CO
Past
July 27, 2010 - February 2, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GREENWOOD VILLAGE, CO
Past
July 27, 2010 - February 2, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GREENWOOD VILLAGE, CO
Past
January 8, 2008 - July 28, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GREENWOOD VILLAGE, CO
Past
January 8, 2008 - July 28, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GREENWOOD VILLAGE, CO
Past
October 1, 2007 - January 10, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
GREENWOOD VILLAGE, CO
Past
March 3, 1998 - January 18, 2008
MARATHON ADVISORS, INC
RIA
CRD#: 113696
ALBUQUERQUE, NM
Past
July 25, 1997 - January 10, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
GREENWOOD VILLAGE, CO
Past
July 25, 1997 - January 10, 2008
CRI SECURITIES, LLC
BD
CRD#: 22589
ALBUQUERQUE, NM
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Alaska(9/24/2025)
RR
Arizona(10/3/2025)
RR
California(11/22/2022)
RR
Colorado(1/30/2012)
IAR
Colorado(1/30/2012)
RR
Florida(1/30/2012)
RR
Georgia(10/24/2022)
RR
Iowa(1/30/2012)
RR
Kansas(8/27/2020)
RR
Louisiana(1/30/2012)
RR
Minnesota(1/30/2012)
RR
Missouri(3/10/2020)
RR
North Carolina(3/16/2023)
RR
Ohio(7/31/2019)
RR
Oregon(3/16/2023)
RR
Texas(1/30/2012)
IAR
Texas(3/22/2012)
RR
Vermont(11/23/2018)
RR
Washington(11/19/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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.
