Joseph E. Fiorile

FIORILE & ASSOCIATES

SARANAC LAKE, NY 12983

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CRD#: 3178629

Professional summary

Joseph Edward Fiorile is a registered financial advisor currently at FIORILE & ASSOCIATES, LLC located in Saranac Lake, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joseph has worked at 2 firms and has passed the Series 66 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

JOSEPH E. FIORILE, CPA, PFS DBA FIORILE FINANCIAL ADVISORY GROUP. NOT INVESTMENT RELATED. 126 KIWASSA ROAD, SARANAC LAKE, NY 12983. ACCOUNTING AND BOOKKEEPING. OWNER/OPERATOR FROM 1999. MR. FIORILE DEVOTES APPROXIMATELY 25% OF HIS TIME TO THIS OTHER BUSINESS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Edward Fiorile'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®

None

Experience

Current

June 23, 2023 - Present

FIORILE & ASSOCIATES, LLC

Office #1: 126 Kiwassa Road, Saranac Lake, NY 12983

RIA

CRD#: 158733

SARANAC LAKE, NY

Past

August 31, 2021 - December 31, 2022

FIORILE & ASSOCIATES, LLC

RIA

CRD#: 158733

SARANAC LAKE, NY

Past

May 24, 1999 - November 9, 2001

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

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
(6/23/2023)

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 66

Date: 4/20/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 5/17/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIORILE & ASSOCIATES, LLC

CRD#: 158733 / SEC#: 801-128213

RIA

Registered Investment Advisory firm - (3/6/2025 Terminated)

New York

Registered Investment Advisory firm - (3/5/2025 Approved)

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).

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Contact information

Main Address

126 Kiwassa Road, Saranac Lake, NY 12983

Mailing Address

P.o. Box 1295, Saranac Lake, NY 12983

Phone number

(518) 891-3290

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT: JOSEPH FIORILE (2/21/2025)

FIRM BROCHURE: FIORILE & ASSOCIATES, LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 24,500,000

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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Joseph E. Fiorile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Edward Fiorile's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIORILE & ASSOCIATES, LLC

FIORILE & ASSOCIATES, LLC

1ST GLOBAL CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/1999

Series 6

Date: 5/17/1999

Current Firm

FIORILE & ASSOCIATES, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIORILE & ASSOCIATES, LLC

TRUST BUT VERIFY

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