JO
Joseph M. Osullivan
BEAM WEALTH ADVISORS
New Orleans, LA
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CRD#: 2926528
JO
Professional summary
Joseph Michael Osullivan, CFP® is a registered financial advisor currently at BEAM WEALTH ADVISORS, INC. located in New Orleans, Louisiana and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
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 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Estate Planning
Investment Planning
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) BEAM WEALTH ADVISORS. Investment related. At registered location. Nature - RIA. Position - Financial Advisor. Start - 12/2008. 160 hours per month, all during trading hours. Duties - provide financial advice, sale of investments. 2) FIXED INSURANCE. Investment related. Located at P.O. Box 52051, New Orleans, LA 70152. Nature - Traditional/ Fixed Insurance. Position - Agent. Start - 07/2015. 1 hour per month during trading hours. Duties - Sales of Fixed/ Traditional insurance products to complement investments. 3) RENTAL PROPERTY. Not investment related. Located at 2135 General Pershing, New Orleans, LA 70115. Nature - rental property. Position - Owner. Start - 06/2018. 1 hour per month during trading hours. Duties - management and rental.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Osullivan'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®
CFP®
Start date: 2006
Experience
Current
January 22, 2009 - Present
BEAM WEALTH ADVISORS, INC.
RIA
CRD#: 109867
New Orleans, LA
Current
April 1, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 2135 General Pershing, New Orleans, LA 70115BD
CRD#: 35747
ALBANY, NY
Past
July 9, 2015 - April 1, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
COVINGTON, LA
Past
September 8, 2009 - July 21, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
COVINGTON, LA
Past
January 8, 2009 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
NEW ORLEANS, LA
Past
July 10, 2003 - October 15, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BATON ROUGE, LA
Past
June 27, 2002 - October 15, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BATON ROUGE, LA
Past
August 6, 1997 - July 30, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
Registered Investment Advisory firm - (6/22/2001 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.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
IAR
Louisiana(1/22/2009)
RR
Louisiana(4/1/2022)
RR
Missouri(4/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
Registered Investment Advisory firm - (6/22/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
72096 Ramos Avenue Suite D, Covington, LA 70433
Mailing Address
Phone number
(985) 893-1440
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,006 |
| AUM (Assets Under Management) | $ 1,314,316,357 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
