Joseph A. Pence

FINANCIAL ADVISORS NETWORK

Tustin, CA 92780

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CRD#: 2955554

Professional summary

Joseph Abraham Pence, who also goes by Joe Abraham Pence, is a registered financial advisor currently at FINANCIAL ADVISORS NETWORK, INC. located in Tustin, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Joseph has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Abraham Pence

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 Joseph Abraham Pence'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

March 20, 2020 - Present

FINANCIAL ADVISORS NETWORK, INC.

Office #1: 1432 Edinger Avenue Suite 200, Tustin, CA 92780

RIA

CRD#: 152083

Tustin, CA

Past

May 25, 2018 - July 12, 2019

COOPER MCMANUS

RIA

CRD#: 111458

IRVINE, CA

Past

May 24, 2018 - July 12, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

IRVINE, CA

Past

September 1, 2016 - May 30, 2018

FINANCIAL ADVISORS NETWORK, INC.

RIA

CRD#: 152083

TUSTIN, CA

Past

November 6, 2014 - July 1, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUSTIN, CA

Past

December 3, 2013 - July 1, 2016

LPL FINANCIAL LLC

CRD#: 6413

TUSTIN, CA

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".

FINANCIAL ADVISORS NETWORK, INC.

FINANCIAL ADVISORS NETWORK | KAMPS, INC. | KAMPS ASSET MANAGEMENT PLANNING SERVICES, INC. | FINANCIAL ADVISORS NETWORK, INC.

CRD#: 152083 / SEC#: 801-74613

RIA

Registered Investment Advisory firm - (3/28/2012 Approved)

California

Registered Investment Advisory firm - (4/9/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(3/20/2020)

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: 3/31/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2013

General Securities Representative Examination

Current Firm

FINANCIAL ADVISORS NETWORK, INC.

FINANCIAL ADVISORS NETWORK | KAMPS, INC. | KAMPS ASSET MANAGEMENT PLANNING SERVICES, INC. | FINANCIAL ADVISORS NETWORK, INC.

CRD#: 152083 / SEC#: 801-74613

RIA

Registered Investment Advisory firm - (3/28/2012 Approved)

California

Registered Investment Advisory firm - (4/9/2012 Terminated)

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Contact information

Main Address

1432 Edinger Avenue Suite 200, Tustin, CA 92780

Mailing Address

Phone number

(714) 597-6510

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN - FORM ADV PART 2A - APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (3/27/2025)

FAN - FORM ADV PART 2A - FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,984
AUM (Assets Under Management)	$ 954,048,143

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

Joseph A. Pence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Abraham Pence's CRS (Customer Relationship Summary).

Certified licenses

Experience

COOPER MCMANUS

SECURITIES AMERICA, INC.

FINANCIAL ADVISORS NETWORK, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

FINANCIAL ADVISORS NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/3/2013

Current Firm

FINANCIAL ADVISORS NETWORK, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL ADVISORS NETWORK, INC.

TRUST BUT VERIFY

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