AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JL

Joseph Lupercio

Some features on this profile are disabled
CRD#: 2921460
JL

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 Lupercio, who also goes by Joe Lupercio, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 7 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Lupercio

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

February 29, 2008 - August 24, 2012

OAK TREE SECURITIES, INC.

RIA
CRD#: 18126
FRESNO, CA
Past

November 1, 2007 - August 24, 2012

OAK TREE SECURITIES, INC.

BD
CRD#: 18126
FRESNO, CA
Past

July 12, 2007 - October 25, 2007

QA3 FINANCIAL LLC

RIA
CRD#: 104957
FRESNO, CA
Past

July 11, 2007 - October 25, 2007

QA3 FINANCIAL CORP.

BD
CRD#: 14754
FRESNO, CA
Past

February 28, 2006 - July 18, 2007

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
FRESNO, CA
Past

October 6, 2005 - March 8, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

November 5, 2001 - January 7, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

November 17, 2000 - November 2, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
RR
IAR
Series 66
Date: 12/22/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/29/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2000
General Securities Representative Examination

Current Firm

OT
OAK TREE SECURITIES, INC.
OAK TREE SECURITIES, INC.

CRD#: 18126 / SEC#: 801-39201, 8-36138

RIA
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)
California
Registered Investment Advisory firm - SEC (3/30/2004 Approved)
Hawaii
Registered Investment Advisory firm - SEC (1/21/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4049 First Street Suite 129, Livermore, CA 94551-4949
Mailing Address
4049 First Street Suite 129, Livermore, CA 94551-4949
Phone number
(925) 245-0570
Established
California since 04/30/1986
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees
4

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUESADA, DANIEL MARTINEZPRESIDENT, CFO,817404
DAHL, ERIC DREWPRINCIPAL735877
LARSON, DENNIS ARTHURREGISTERED REP302868
WILLIAMS, PATRICIA JEANPRINCIPAL1006661
DURDEN, JOHN KENNETH JRFINANCIAL PRINCIPAL860423
GODINEZ, DAVID GREGORYPRINCIPAL, CHIEF COMPLIANCE OFFICER2086793

Regulatory assets under management

Total Number of Accounts5
AUM (Assets Under Management)$ 3,689,200

Disclosures

Regulatory Event2

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

OAK TREE SECURITIES, INC.

CRD#: 18126

TRUST BUT VERIFY

Monitor Joseph Lupercio

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.