John J. Madden

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CRD#: 3100035

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.

John Joseph Madden, who also goes by John J Madden, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John J Madden

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) 05/12/2015 * BNI: No Ordinary Chapter * Networking Group * NOT INV REL * Meet weekly at Berkeley Yacht Club, One Seawall Drive, Berkeley, CA 94710. * START 05/01/2015 * 10 HRS/MO DURING SECS TRDG HRS.

Blog Corner

CRS (Client Relationship Summary)

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

WALNUT CREEK, CA

Past

April 28, 2003 - May 27, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

WALNUT CREEK, CA

Past

April 13, 1999 - May 27, 2008

TD AMERITRADE, INC.

CRD#: 7870

WALNUT CREEK, CA

Past

August 26, 1998 - April 26, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

EP WEALTH ADVISORS

CRD#: 111147 / SEC#: 801-29358

RIA

Registered Investment Advisory firm - (4/16/1987 Approved)

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.

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: 9/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/21/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/25/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/23/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/21/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

EP WEALTH ADVISORS

CRD#: 111147 / SEC#: 801-29358

RIA

Registered Investment Advisory firm - (4/16/1987 Approved)

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Contact information

Main Address

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503

Mailing Address

Phone number

(310) 543-4559

Established

Firm type

Fiscal year end

# of Employees

557

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 ("WRAP FEE PROGRAM BROCHURE") (3/31/2025)

EP WEALTH ADVISORS, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	49,167
AUM (Assets Under Management)	$ 35,570,000,000

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

John J. Madden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MINDFUL MONEY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EP WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/1998

Series 63

Date: 9/14/1998

SIE

Date: 4/9/2018

Series 31

Date: 9/21/1998

Series 7

Date: 8/25/1998

Series 10

Date: 10/23/2000

Series 9

Date: 8/21/2000

Current Firm

EP WEALTH ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EP WEALTH ADVISORS

TRUST BUT VERIFY

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