Josephti S. Cruz

THE WEALTHGARDEN F.S. LLC

El Segundo, CA 90245

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CRD#: 4095193

Professional summary

Josephti Sotto Cruz, who also goes by Josephti Cruz Gonda, Josephti Gonda, is a registered financial advisor currently at THE WEALTHGARDEN F.S. LLC located in El Segundo, California.

Josephti is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Josephti has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josephti Cruz Gonda | Josephti Gonda

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. Insurance; investment-related; same address; Since 2015; Agent; Less than 10 hours per month, none during marketing hours. 2. Financially Ever After LLC dba Cover Your Assets. investment-related; same address; Certified Divorce Financial Analyst (CDFA) consulting business; CDFA, Owner; Start Date: 8/28/2024; 5 hours per month, 2-5 during securities trading hours; analyze divorcing couples' incomes, assets, expenses, and provide reports to help couples negotiate settlement. 3. Mothership Financial LLC; not investment-related; same address; 3/31/25; No client involvement; LLC to receive quarterly revenue payments from WealthGarden; Owner; < 1 hour per month, none during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josephti Sotto Cruz'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

March 4, 2021 - Present

THE WEALTHGARDEN F.S. LLC

Office #1: 1730 E. Holly Ave Suite 838, El Segundo, CA 90245

RIA

CRD#: 311927

El Segundo, CA

Past

November 3, 2020 - June 30, 2021

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

PLAYA VISTA, CA

Past

October 10, 2012 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

LOS ANGELES, CA

Past

October 10, 2012 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

LOS ANGELES, CA

Past

October 1, 2012 - October 2, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

October 1, 2012 - October 2, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 10, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

June 10, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

June 1, 2009 - May 27, 2010

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

October 7, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 7, 2000 - August 18, 2008

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

February 16, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

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".

THE WEALTHGARDEN F.S. LLC

CRD#: 311927 / SEC#: 801-129740

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

California

Registered Investment Advisory firm - (3/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2025 Terminated)

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).

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
(3/4/2021)

IAR

Texas
(1/12/2022)

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: 11/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2000

General Securities Representative Examination

Current Firm

THE WEALTHGARDEN F.S. LLC

CRD#: 311927 / SEC#: 801-129740

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

California

Registered Investment Advisory firm - (3/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2025 Terminated)

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Contact information

Main Address

1730 E. Holly Ave Suite 838, El Segundo, CA 90245

Mailing Address

Phone number

(310) 571-8489

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE WEALTHGARDEN WRAP BROCHURE (5/21/2025)

ADV 2A - FIRM BROCHURE - THE WEALTHGARDEN F.S. LLC (5/21/2025)

Regulatory assets under management

Total Number of Accounts	588
AUM (Assets Under Management)	$ 182,314,226

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

Josephti S. Cruz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josephti Sotto Cruz's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST ASSET MANAGEMENT

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

Primary Firm SEC Registration

THE WEALTHGARDEN F.S. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2008

Series 63

Date: 12/22/1999

Series 7TO

Date: 2/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2000

Current Firm

THE WEALTHGARDEN F.S. LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE WEALTHGARDEN F.S. LLC

TRUST BUT VERIFY

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