Joseph C. Cefalu

DOWNTOWN WEALTH STUDIOS | Private Wealth Manager

Cambridge, MA 02138

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CRD#: 3215684

Professional summary

Joseph Christopher Cefalu, CIMA® is a registered financial advisor currently at DOWNTOWN WEALTH STUDIOS, LLC located in Cambridge, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 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.

I*93744 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSEPH C CEFALU, RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: BOSTON, MASSACHUSETTS 02113 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2010 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A STUDIO APARTMENT, FORMERLY A SECOND HOME, NOW A RENTAL PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Cefalu'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 5, 2023 - Present

DOWNTOWN WEALTH STUDIOS, LLC

Office #1: 20 University Rd. Suite 500, Cambridge, MA 02138

RIA

CRD#: 325213

Cambridge, MA

Past

November 7, 2008 - March 20, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

January 10, 2003 - November 17, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PEABODY, MA

Past

June 17, 1999 - January 22, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, 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".

DOWNTOWN WEALTH STUDIOS, LLC

DOWNTOWN WEALTH STUDIOS GROUP LLC | DOWNTOWN WEALTH STUDIOS, LLC

CRD#: 325213 / SEC#: 801-127415

RIA

Registered Investment Advisory firm - (3/7/2023 Approved)

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

California
(7/7/2023)

IAR

Florida
(7/7/2023)

IAR

Massachusetts
(5/5/2023)

IAR

New York
(6/22/2023)

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 65

Date: 6/21/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/7/1999

National Commodity Futures Examination

Current Firm

DOWNTOWN WEALTH STUDIOS, LLC

DOWNTOWN WEALTH STUDIOS GROUP LLC | DOWNTOWN WEALTH STUDIOS, LLC

CRD#: 325213 / SEC#: 801-127415

RIA

Registered Investment Advisory firm - (3/7/2023 Approved)

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Contact information

Main Address

218 Northwest 24th St., Miami, FL 33127

Mailing Address

Phone number

(888) 240-2737

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	117
AUM (Assets Under Management)	$ 634,952,832

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Joseph C. Cefalu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Cefalu's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

DOWNTOWN WEALTH STUDIOS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2023

Series 63

Date: 5/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1999

Series 3

Date: 5/7/1999

Current Firm

DOWNTOWN WEALTH STUDIOS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOWNTOWN WEALTH STUDIOS, LLC

TRUST BUT VERIFY

Contact information

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