Joseph Anthony Carbone Jr
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph Anthony Carbone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
FOCUS PLANNING GROUP | FOCUS PLANNING GROUP, LLC
Contact Information
Main Address
Bayport, NYMailing Address
Po Box 845, Bayport, NY 11705Phone Number
(631) 714-6869# of Employees
1SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
156AUM (Assets Under Management)
$41,768,028Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FOCUS PLANNING GROUP | FOCUS PLANNING GROUP, LLC
State Registrations and Notice Filings
(3/25/2022)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1998About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Carbone JR's CRS (Customer Relationship Summary).
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