Joseph A. Carbone

FOCUS PLANNING GROUP

Bayport, NY

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CRD#: 3026229

Professional summary

Joseph Anthony Carbone JR, CFP®, who also goes by Joseph Anthony Carbone, is a registered financial advisor currently at FOCUS PLANNING GROUP located in Bayport, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Anthony Carbone

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.INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Carbone JR'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: 2002

Experience

Current

November 7, 2015 - Present

FOCUS PLANNING GROUP

RIA

CRD#: 281231

Bayport, NY

Past

January 2, 2013 - October 21, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BAYPORT, NY

Past

January 2, 2013 - October 21, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BAYPORT, NY

Past

July 6, 2012 - December 31, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

WESTBURY, NY

Past

December 6, 2011 - June 28, 2012

MSEC, LLC

CRD#: 154327

NEW YORK, NY

Past

January 28, 2011 - June 28, 2012

MARINER WEALTH

RIA

CRD#: 140195

OVERLAND PARK, KS

Past

May 24, 2010 - May 26, 2011

CBIZ WEALTH MANAGEMENT, LLC

RIA

CRD#: 153785

CLEVELAND, OH

Past

March 7, 2006 - December 8, 2011

CBIZ FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 16678

NEW YORK, NY

Past

March 7, 2006 - June 28, 2012

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

NEW YORK, NY

Past

April 19, 2005 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LAKE RONKONKOMA, NY

Past

April 19, 2005 - March 3, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 14, 2004 - April 1, 2005

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

MEDFORD, NY

Past

November 13, 2003 - April 1, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

November 27, 2002 - November 12, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

May 3, 1999 - November 12, 2002

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

May 6, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

FOCUS PLANNING GROUP

FOCUS PLANNING GROUP | FOCUS PLANNING GROUP, LLC

CRD#: 281231 / SEC#: 801-132810

RIA

Registered Investment Advisory firm - (5/19/2025 Approved)

New York

Registered Investment Advisory firm - (5/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/27/2025 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

New York
(3/25/2022)

IAR

Texas
(11/7/2015)

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: 10/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FOCUS PLANNING GROUP

FOCUS PLANNING GROUP | FOCUS PLANNING GROUP, LLC

CRD#: 281231 / SEC#: 801-132810

RIA

Registered Investment Advisory firm - (5/19/2025 Approved)

New York

Registered Investment Advisory firm - (5/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/27/2025 Terminated)

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Contact information

Main Address

Bayport, NY

Mailing Address

Po Box 845, Bayport, NY 11705

Phone number

(631) 714-6869

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOCUS PLANNING ADV 2A (7/16/2025)

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 35,586,260

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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Firm Stability Insights

Joseph A. Carbone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Carbone JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PARK AVENUE SECURITIES LLC

MSEC, LLC

MARINER WEALTH

CBIZ WEALTH MANAGEMENT, LLC

CBIZ FINANCIAL SOLUTIONS, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

VERAVEST INVESTMENTS, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

FOCUS PLANNING GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/1998

Series 63

Date: 3/20/1998

SIE

Date: 10/21/2015

Series 7

Date: 8/30/1999

Series 6

Date: 3/9/1998

Current Firm

FOCUS PLANNING GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PLANNING GROUP

TRUST BUT VERIFY

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