Joseph M. Patneaude

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CRD#: 4333607

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.

Joseph Mathew Patneaude was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

NOTARY PUBLIC, STARTED 03/2014, 2 HR/MO, NOT INVESTMENT RELATED, $200/YR COMP. PARK PLACE REALTY NETWORK; LICENSED REAL ESTATE ASSOCIATE; STARTED: 05/01/2019; NOT INVESTMENT RELATED; CONNECT POTENTIAL CUSTOMERS TO REALTORS, 2 HR/MO, $2K/YR COMP, ; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 1. PATNEAUDE ENTERPRISES LLC, OWNER, STARTED 09/2021, FOR BUSINESS EXPENSE ACCOUNTING, AND PROFESSIONAL COACHING AND TUTORING SERVICES. 8HR/MO, $3000/YR COMP, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 12, 2022 - January 28, 2025

CONFIDENCE WEALTH MANAGEMENT, INC.

RIA

CRD#: 127383

PALM HARBOR, FL

Past

April 5, 2021 - April 22, 2022

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

TAMPA, FL

Past

April 5, 2021 - April 22, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

TAMPA, FL

Past

August 28, 2019 - April 12, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

June 21, 2019 - April 12, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

January 13, 2014 - May 22, 2017

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

TAMPA, FL

Past

January 2, 2014 - May 22, 2017

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

August 26, 2011 - July 17, 2013

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

August 10, 2011 - July 17, 2013

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TAMPA, FL

Past

January 6, 2009 - July 25, 2011

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

August 6, 2008 - January 21, 2010

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 21, 2007 - January 8, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

November 21, 2007 - July 25, 2011

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

March 13, 2007 - November 29, 2007

E*TRADE SECURITIES LLC

CRD#: 29106

TAMPA, FL

Past

February 8, 2007 - February 26, 2007

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

August 24, 2006 - February 7, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

November 1, 2005 - July 11, 2006

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

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".

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 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.

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 66

Date: 7/31/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2008

General Securities Principal Examination

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 Terminated)

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Contact information

Main Address

10940 Wilshire Blvd Suite 600, Los Angeles, CA 90024

Mailing Address

Phone number

(310) 824-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

04 2025 CWM FORM ADV PART 2A FINAL (4/21/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 344,241,463

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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Advisor Monitoring

Firm Stability Insights

Joseph M. Patneaude

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

INVEST FINANCIAL CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

NATIONAL PLANNING CORPORATION

INVEST FINANCIAL CORPORATION

E*TRADE SECURITIES LLC

INVEST FINANCIAL CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

FORESIDE FUND SERVICES, LLC

Primary Firm SEC Registration

CONFIDENCE WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2019

Series 65

Date: 11/7/2008

Series 63

Date: 4/3/2007

SIE

Date: 5/22/2017

Series 7

Date: 3/22/2007

Series 6

Date: 10/31/2005

Series 24

Date: 8/22/2008

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFIDENCE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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