Joseph J. Mooney

GEOWEALTH MANAGEMENT LLC

San Ramon, CA

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CRD#: 2916072

Professional summary

Joseph J Mooney, who also goes by Joseph John Mooney, is a registered financial advisor currently at GEOWEALTH MANAGEMENT LLC located in San Ramon, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joseph has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph John Mooney

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.

Full Time. Manager - Advisor Consulting.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph J Mooney'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

September 29, 2025 - Present

GEOWEALTH MANAGEMENT LLC

RIA

CRD#: 148222

San Ramon, CA

Past

July 24, 2024 - July 31, 2025

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

HARTFORD, CT

Past

January 22, 2021 - December 31, 2022

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

March 1, 2018 - January 18, 2019

EQIS SECURITIES, LLC

CRD#: 20633

SAN RAFAEL, CA

Past

June 29, 2017 - April 10, 2024

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

HARTFORD, CT

Past

August 15, 2014 - November 30, 2016

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 5, 2011 - November 30, 2016

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

March 16, 2011 - November 19, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 8, 2009 - April 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

December 10, 2008 - April 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 28, 2001 - December 7, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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".

GEOWEALTH MANAGEMENT LLC

GEOCAPITAL INVESTMENTS, LLC - RELYING ADVISER | GEOWEALTH MANAGEMENT, INC. | GEOWEALTH MANAGEMENT LLC

CRD#: 148222 / SEC#: 801-71114

RIA

Registered Investment Advisory firm - (2/25/2010 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.

Highlighted states indicate IAR registrations

IAR

California
(9/29/2025)

IAR

Illinois
(10/7/2025)

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

IAR

Series 66

Date: 1/6/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/2008

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 5/25/2002

Limited Representative-Equity Trader Exam

Current Firm

GEOWEALTH MANAGEMENT LLC

GEOCAPITAL INVESTMENTS, LLC - RELYING ADVISER | GEOWEALTH MANAGEMENT, INC. | GEOWEALTH MANAGEMENT LLC

CRD#: 148222 / SEC#: 801-71114

RIA

Registered Investment Advisory firm - (2/25/2010 Approved)

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Contact information

Main Address

444 N. Michigan Avenue Suite 3150, Chicago, IL 60611

Mailing Address

Phone number

(312) 219-9160

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GEOWEALTH WRAP FEE PROGRAM BROCHURE (11/7/2025)

ADV PART 2A - FIRM BROCHURE (11/7/2025)

Regulatory assets under management

Total Number of Accounts	77,019
AUM (Assets Under Management)	$ 13,610,973,546

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 J. Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FREEDOM INVESTMENT MANAGEMENT, INC.

PORTSMOUTH FINANCIAL SERVICES

EQIS SECURITIES, LLC

FREEDOM INVESTMENT MANAGEMENT, INC.

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

GEOWEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2009

Series 63

Date: 4/1/2002

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2008

Series 55

Date: 5/25/2002

Current Firm

GEOWEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GEOWEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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