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JF

Joseph L. Fusaro

Some features on this profile are disabled
CRD#: 3060433
JF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Lawrence Fusaro JR, who also goes by Joseph Fusaro, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Fusaro

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.
SEIA POSITION: Director of Human Resources and Office Operations NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/04/2004 ADDRESS: 2121 Avenue of the Stars, STE 1600, Los Angeles CA 90067, United States DESCRIPTION: RIA Service

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2023 - April 17, 2024

SIGNATURE ESTATE SECURITIES, LLC

BD
CRD#: 18923
Los Angeles, CA
Past

November 2, 2018 - August 23, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
LOS ANGELES, CA
Past

April 9, 2010 - April 17, 2024

SEIA

RIA
CRD#: 108163
LOS ANGELES, CA
Past

November 2, 1999 - March 31, 2011

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
LOS ANGELES, CA
Past

September 15, 1998 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 8/11/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2006
General Securities Principal Examination

Current Firm

SE
SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE SECURITIES, INC. | TRANSAM SECURITIES, INC. | SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923 / SEC#: , 8-37065

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Phone number
(310) 712-2323
Established
Delaware since 02/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEIA HOLDINGS LLC100% DIRECT OWNER SIGNATURE ESTATE SECURITIES LLC
MATRISIAN, MATTHEW JAMESPRESIDENT2507829
ROSEN, ERIC ZACHARYCHIEF COMPLIANCE OFFICER6181478
RUSSELL, SARAH DETLINGFINOP6727189

Disclosures

Regulatory Event2

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.

Company Information

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

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