Joshua L. Pico
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.
Joshua Lance Pico, who also goes by Joshua Pico, Lance Pico, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2003. Joshua had worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2024 - October 7, 2024
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC
November 27, 2012 - October 5, 2023
CHARLES SCHWAB & CO., INC.
November 27, 2012 - October 5, 2023
CHARLES SCHWAB & CO., INC.
August 10, 2011 - January 3, 2012
SSN ADVISORY, INC.
August 2, 2011 - January 3, 2012
SECURITIES SERVICE NETWORK, LLC
October 21, 2009 - August 2, 2011
TD AMERITRADE, INC.
October 21, 2009 - August 2, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 21, 2009 - August 2, 2011
TD AMERITRADE, INC.
December 12, 2008 - October 12, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 12, 2005 - October 9, 2008
STRATEGIC ADVISERS LLC
September 2, 2005 - October 9, 2008
FIDELITY BROKERAGE SERVICES LLC
June 13, 2003 - November 16, 2004
MORGAN STANLEY DW INC.
March 3, 2003 - November 16, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC
CRD#: 324173 / SEC#: 801-128269
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC
CRD#: 324173 / SEC#: 801-128269
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 831 |
| AUM (Assets Under Management) | $ 263,947,400 |
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.
