Josephine L. Trotta

PATHFINDER WEALTH ADVISORS LLC

Mayfield Heights, OH 44124

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CRD#: 4371755

Professional summary

Josephine Laspina Trotta, who also goes by Josephine La Spina Trotta, is a registered financial advisor currently at PATHFINDER WEALTH ADVISORS LLC located in Mayfield Heights, Ohio.

Josephine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Josephine has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josephine La Spina Trotta

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 Josephine Laspina Trotta'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

October 22, 2015 - Present

PATHFINDER WEALTH ADVISORS LLC

Office #1: 6120 Parkland Blvd., Suite 225, Mayfield Heights, OH 44124Office #2: 6100 Oak Tree Blvd. Suite 300, Independence, OH 44131-6970

RIA

CRD#: 173676

Mayfield Heights, OH

Past

August 11, 2011 - May 5, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BEACHWOOD, OH

Past

August 10, 2011 - May 5, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BEACHWOOD, OH

Past

August 13, 2010 - August 2, 2011

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

FAIRLAWN, OH

Past

May 29, 2009 - December 31, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOLON, OH

Past

May 29, 2009 - August 8, 2011

LPL FINANCIAL LLC

CRD#: 6413

SOLON, OH

Past

November 5, 2004 - May 26, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PEPPER PIKE, OH

Past

November 5, 2004 - May 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PEPPER PIKE, OH

Past

November 16, 2001 - November 10, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLEVELAND, OH

Past

June 21, 2001 - November 10, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Ohio
(10/22/2015)

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: 8/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2001

General Securities Representative Examination

Current Firm

PATHFINDER WEALTH ADVISORS LLC

CRD#: 173676 / SEC#: 801-119941

RIA

Registered Investment Advisory firm - (6/30/2024 Terminated)

Ohio

Registered Investment Advisory firm - (11/21/2014 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

6120 Parkland Blvd., Suite 225, Mayfield Heights, OH 44124

Mailing Address

Phone number

(216) 533-0463

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	159
AUM (Assets Under Management)	$ 78,914,253

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

Josephine L. Trotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josephine Laspina Trotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2001

SIE

Date: 5/5/2015

Series 7

Date: 6/20/2001

Current Firm

PATHFINDER WEALTH ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHFINDER WEALTH ADVISORS LLC

TRUST BUT VERIFY

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