JC
Joseph S. Cortese
FIDUCIENT ADVISORS LLC
CHICAGO, IL 60661-4593
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CRD#: 4675255
JC
Professional summary
Joseph Samuel Cortese III is a registered financial advisor currently at FIDUCIENT ADVISORS LLC located in Chicago, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Vilas Capital Management, L.L.C. - Investment related, 200 E. Randolph Street, Chicago, IL; Limited Partnership Investment Fund; Shareholder, Board of Directors; 07/2014; <1 during non-business hours; <1 during security trading hours; retain equity shares in firm that were awarded as part of my compensation package while employed with the firm and serve as a Member of Board of Directors advising on strategic directions of the firm. Hairtography, LLC - non-investment related, 300 N Elizabeth Street, Suite 210C, Chicago, IL; Outside Advisor; 10/2017; 1-5 during non-business hours; <1 during security trading hours; act as an outside advisor to the company on business-related matters Humble Enterprises, LLC - Investment related, 1302 Lathrop Ave, River Forest, IL 60305, Nature of business: LLC formed for purchase of land; Position/title: Owner, Start date: February, 2021, Hours/month: <1, Hours during trading hours: <1, Duties: No ongoing duties associated with owning the land.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Samuel Cortese III's 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®
NoneExperience
Current
November 28, 2018 - Present
FIDUCIENT ADVISORS LLC
Office #1: 500 W Madison Street Suite 3260, Chicago, IL 60661-4593RIA
CRD#: 106720
CHICAGO, IL
Past
April 8, 2008 - May 21, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
April 8, 2008 - May 21, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHICAGO, IL
Past
December 2, 2005 - February 14, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHICAGO, IL
Past
January 8, 2004 - February 14, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHICAGO, IL
Past
July 21, 2003 - December 10, 2003
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
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".
FIDUCIENT ADVISORS LLC
DIMEO SCHNEIDER & ASSOCIATES LLC | FIDUCIENT ADVISORS LLC
CRD#: 106720 / SEC#: 801-48820
RIA
Registered Investment Advisory firm - (3/27/1995 Approved)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
Illinois(11/28/2018)
IAR
Texas(2/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
FIDUCIENT ADVISORS LLC
DIMEO SCHNEIDER & ASSOCIATES LLC | FIDUCIENT ADVISORS LLC
CRD#: 106720 / SEC#: 801-48820
RIA
Registered Investment Advisory firm - (3/27/1995 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 W Madison Street Suite 3260, Chicago, IL 60661-4593
Mailing Address
Phone number
(312) 853-1000
Established
Firm type
Fiscal year end
# of Employees
218
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,150 |
| AUM (Assets Under Management) | $ 67,638,977,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/30/2024 | ||
| 11/14/2023 | ||
| 01/23/2023 |
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.
