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Joshua R. Axel

Joshua R. Axel

KTF INVESTMENTS | Managing Director–Wealth Management
SEAL BEACH, CA 90740
Some features on this profile are disabled
CRD#: 4227334
Joshua R. Axel

Professional summary

Joshua R. Axel, CFP®, who also goes by Joshua Robin Axel, is a registered financial advisor currently at KTF INVESTMENTS, LLC located in Seal Beach, California.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joshua has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joshua Robin Axel

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua R. Axel'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®
CFP®

Certified Financial Planner

Experience

Current

August 29, 2025 - Present

KTF INVESTMENTS, LLC

Office #1: 13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740
RIA
CRD#: 337465
SEAL BEACH, CA
Past

December 4, 2000 - September 9, 2025

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SEAL BEACH, CA
Past

September 7, 2000 - September 9, 2025

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SEAL BEACH, CA

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
(8/29/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2000
General Securities Representative Examination

Current Firm

KI
KTF INVESTMENTS, LLC
KTF INVESTMENTS, LLC

CRD#: 337465 / SEC#: 801-134137

RIA
Registered Investment Advisory firm - (8/8/2025 120-Day Approval)
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Contact information

Main Address
13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740
Mailing Address
Phone number
(513) 618-4498
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KTF INVESTMENTS FORM ADV PART 2A, APPENDIX 1 WRAP FEE BROCHURE (AUGUST 2025) (8/28/2025)
0

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.

Company Information

KTF INVESTMENTS, LLC

Managing Director–Wealth ManagementCRD#: 337465Seal Beach, CA 90740

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Contact information

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