Joseph A. Staub
Professional summary
Joseph Amery Staub, CFP®, who also goes by Joseph A Staub, Joseph Amery Staub, is a registered financial advisor currently at FACET located in Memphis, Tennessee.
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 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Amery Staub's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2003
Experience
October 13, 2020 - Present
FACET
September 13, 2019 - October 2, 2020
PARK AVENUE SECURITIES LLC
July 22, 2019 - October 2, 2020
PARK AVENUE SECURITIES LLC
April 25, 2005 - September 1, 2016
SUMMIT ASSET MANAGEMENT LLC
April 1, 2004 - February 28, 2005
LEGACY WEALTH MANAGEMENT INC
July 9, 1998 - November 22, 2000
IDS LIFE INSURANCE COMPANY
July 9, 1998 - November 22, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FACET
CRD#: 285961 / SEC#: 801-108767
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/13/2020)
(2/26/2021)
Exams
Series 7TO
Date: 7/22/2019
General Securities Representative ExaminationCurrent Firm
FACET
CRD#: 285961 / SEC#: 801-108767
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 36,817 |
| AUM (Assets Under Management) | $ 4,754,146,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 |
Red Flags
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