Joseph Mascioli

CROSS STATE FINANCIAL GROUP LLC

LITTLETON, CO

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CRD#: 4692655

Professional summary

Joseph Mascioli, who also goes by Joseph A Mascioli, Joseph Anthony Mascioli, Joseph Mascioli, is a registered financial advisor currently at CROSS STATE FINANCIAL GROUP LLC located in Littleton, Colorado and BERENZ WEALTH MANAGEMENT, LLC located in Littleton, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph A Mascioli | Joseph Anthony Mascioli | Joseph Mascioli

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.

(1) Joseph Mascioli, Sole Proprietor; Yes; Denver, CO; Insurance Sales; Insurance Agent; 09/2023; 10/ HRS MO; 10/ HRS MO (2) Cross State Financial Group, LLC; Yes; Albuquerque, NM; RIA; Investment Advisor Representative; 09/2023; 120/ HRS MO; 120/ HRS MO (3) Berenz Wealth Management, LLC; Yes; 2 W. Dry Creek Cir., Ste 100, Littleton, CO; IAR/Admin; 01/2025; 16 HRS/MO; 16 HRS/MO during trading; model investment allocation & trading, administrative in nature.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Mascioli'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

September 13, 2023 - Present

CROSS STATE FINANCIAL GROUP LLC

RIA

CRD#: 282011

LITTLETON, CO

Current

January 23, 2025 - Present

BERENZ WEALTH MANAGEMENT, LLC

Office #1: 2 West Dry Creek Circle Suite 100, Littleton, CO 80120

RIA

CRD#: 168826

Littleton, CO

Past

January 31, 2022 - September 1, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Centennial, CO

Past

January 31, 2022 - September 1, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CENTENNIAL, CO

Past

May 30, 2019 - February 1, 2022

EDWARD JONES

RIA

CRD#: 250

LITTLETON, CO

Past

May 6, 2019 - February 1, 2022

EDWARD JONES

CRD#: 250

LITTLETON, CO

Past

January 4, 2017 - April 22, 2019

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

June 22, 2016 - January 4, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

DENVER, CO

Past

April 6, 2015 - June 1, 2016

IMST DISTRIBUTORS, LLC

CRD#: 130745

DENVER, CO

Past

April 4, 2013 - April 10, 2015

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 6, 2011 - June 12, 2012

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

May 3, 2010 - October 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN DIEGO, CA

Past

April 16, 2010 - October 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN DIEGO, CA

Past

August 4, 2008 - January 5, 2009

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230

PHILADELPHIA, PA

Past

September 27, 2007 - August 6, 2008

FORESIDE FUND SERVICES, LLC

CRD#: 46106

WEST CONSHOHOCKEN, PA

Past

January 3, 2006 - October 1, 2007

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

WEST CONSHOHOCKEN, PA

Past

September 30, 2003 - March 2, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

CROSS STATE FINANCIAL GROUP LLC

CRD#: 282011 / SEC#: 801-117843

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/22/2021 Terminated)

Colorado

Registered Investment Advisory firm - (11/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (11/22/2021 Terminated)

Michigan

Registered Investment Advisory firm - (11/23/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (11/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/22/2021 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.

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

Colorado
(9/13/2023)

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: 5/29/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/29/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CROSS STATE FINANCIAL GROUP LLC

CRD#: 282011 / SEC#: 801-117843

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/22/2021 Terminated)

Colorado

Registered Investment Advisory firm - (11/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (11/22/2021 Terminated)

Michigan

Registered Investment Advisory firm - (11/23/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (11/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/22/2021 Terminated)

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Contact information

Main Address

6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109

Mailing Address

8424 S. Yukon St., Littleton, CO 80128

Phone number

(800) 621-6974

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	1,028
AUM (Assets Under Management)	$ 166,767,480

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 Mascioli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Mascioli's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERENZ WEALTH MANAGEMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

TRANSAMERICA CAPITAL, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

IMST DISTRIBUTORS, LLC

EMPOWER FINANCIAL SERVICES, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ABERDEEN FUND DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

NATIONWIDE FUND DISTRIBUTORS LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CROSS STATE FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2019

Series 63

Date: 10/2/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2007

Series 6

Date: 9/29/2003

Current Firm

CROSS STATE FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROSS STATE FINANCIAL GROUP LLC

TRUST BUT VERIFY

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