James E. Joseph

FSA WEALTH PARTNERS

ROCKVILLE, MD 20850

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CRD#: 2943563

Professional summary

James Edward Joseph, CFP®, who also goes by Jim Joseph, Jimmy Joseph, is a registered financial advisor currently at FSA WEALTH PARTNERS located in Rockville, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Joseph | Jimmy Joseph

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) - RIA

Click below to view James Edward Joseph'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

November 9, 2004 - Present

FSA WEALTH PARTNERS

Office #1: One Church Street, Suite 901, Rockville, MD 20850

RIA

CRD#: 104513

ROCKVILLE, MD

Past

October 13, 2004 - November 5, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WASHINGTON DC, DC

Past

October 15, 1999 - November 5, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 1, 1998 - August 21, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 26, 1997 - June 23, 1998

DMG SECURITIES, INC.

CRD#: 15480

GREAT FALLS, VA

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".

FSA WEALTH PARTNERS

FINANCIAL SERVICES ADVISORY | FSA WEALTH PARTNERS, INC. | FSA WEALTH PARTNERS | FSA | FINANCIAL SERVICES ADVISORY INC

CRD#: 104513 / SEC#: 801-18801

RIA

Registered Investment Advisory firm - (4/21/1983 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

Maryland
(11/9/2004)

IAR

Texas
(3/11/2014)

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: 9/9/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1997

General Securities Representative Examination

Current Firm

FSA WEALTH PARTNERS

FINANCIAL SERVICES ADVISORY | FSA WEALTH PARTNERS, INC. | FSA WEALTH PARTNERS | FSA | FINANCIAL SERVICES ADVISORY INC

CRD#: 104513 / SEC#: 801-18801

RIA

Registered Investment Advisory firm - (4/21/1983 Approved)

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Contact information

Main Address

One Church Street Suite 901, Rockville, MD 20850

Mailing Address

Phone number

(301) 949-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSA DISCLOSURE BROCHURE (4/29/2025)

Regulatory assets under management

Total Number of Accounts	1,964
AUM (Assets Under Management)	$ 770,176,152

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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Advisor Monitoring

Firm Stability Insights

James E. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

DMG SECURITIES, INC.

Primary Firm SEC Registration

FSA WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2004

Series 63

Date: 9/18/1997

Series 7

Date: 9/15/1997

Current Firm

FSA WEALTH PARTNERS

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSA WEALTH PARTNERS

TRUST BUT VERIFY

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