Joseph C. Maslowski

CAPITAL ASSET MANAGEMENT

Ridgway, CO

Some features on this profile are disabled

CRD#: 2998705

Professional summary

Joseph Charles Maslowski, who also goes by Joseph C Maslowski, is a registered financial advisor currently at CAPITAL ASSET MANAGEMENT, LLC located in Ridgway, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joseph has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph C Maslowski

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 Charles Maslowski'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

February 15, 2018 - Present

CAPITAL ASSET MANAGEMENT, LLC

RIA

CRD#: 284505

Ridgway, CO

Past

October 1, 2008 - January 28, 2009

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PARK CITY, UT

Past

October 1, 2008 - January 28, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

PARK CITY, UT

Past

September 27, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

PARK CITY, UT

Past

July 1, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

PARK CITY, UT

Past

February 11, 1999 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

SALT LAKE CITY, UT

Past

September 21, 1998 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

SALT LAKE CITY, UT

Past

March 5, 1998 - October 13, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 5, 1998 - October 13, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CAPITAL ASSET MANAGEMENT, LLC

CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC

CRD#: 284505 / SEC#: 801-123577

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (4/12/2022 Terminated)

Idaho

Registered Investment Advisory firm - (12/3/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2022 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

Colorado
(2/15/2018)

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 65

Date: 10/9/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/4/1998

General Securities Representative Examination

Current Firm

CAPITAL ASSET MANAGEMENT, LLC

CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC

CRD#: 284505 / SEC#: 801-123577

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (4/12/2022 Terminated)

Idaho

Registered Investment Advisory firm - (12/3/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2022 Terminated)

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

1800 Glenarm Place Suite 703, Denver, CO 80202

Mailing Address

Phone number

(303) 832-7770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 189,564,727

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph C. Maslowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Charles Maslowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2017

Series 63

Date: 3/6/1998

Series 7

Date: 3/4/1998

Current Firm

CAPITAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors