Joseph D. Pitzl
PITZL FINANCIAL
Arden Hills, MN 55112
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CRD#: 4696949
Professional summary
Joseph Daniel Pitzl, CFP®, who also goes by Joseph D Pitzl, is a registered financial advisor currently at PITZL FINANCIAL located in Arden Hills, Minnesota.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 3 firms and has passed the Series 6 exam.
Biography
We deliver the personal touch of a small business with the resources and expertise of industry giants. We view our client relationships as partnerships working on a common set of goals. Your life goals dictate the focus of our relationship and we adjust our planning process to accomodate you, rather than forcing you to accomodate us.
We are an independent member of The BAM ALLIANCE and work very closely with our sister CPA firm, Pitzl & Pitzl, PA. Our clients are not required to engage the CPA firm for tax work, but will benefit regardless from having their business and tax expertise in-house.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Retirement Planning
Life Transitions
Estate Planning
Tax Planning
Do you have an area of expertise or specialization?
Business Owners
Cash Flow/Budgets/Credit Issue...
College/Education Planning
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Joseph D Pitzl
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Daniel Pitzl'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®
CFP®
Start date: 2005
Experience
Current
May 19, 2014 - Present
PITZL FINANCIAL
Office #1: 8 Pine Tree Drive Suite 125, Arden Hills, MN 55112RIA
CRD#: 171441
Arden Hills, MN
Past
November 4, 2013 - July 3, 2014
EXCELSIOR INVESTORS
RIA
CRD#: 108048
MINNETONKA, MN
Past
September 4, 2003 - March 29, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
PITZL FINANCIAL
PITZL FINANCIAL | PITZL FINANCIAL, LLC
CRD#: 171441 / SEC#: 801-113328
RIA
Registered Investment Advisory firm - (5/30/2018 Approved)Minnesota
Registered Investment Advisory firm - (7/10/2018 Terminated)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
Minnesota(5/19/2014)
IAR
Texas(7/27/2021)
Exams
General Industry/Product Exam
Current Firm
PITZL FINANCIAL
PITZL FINANCIAL | PITZL FINANCIAL, LLC
CRD#: 171441 / SEC#: 801-113328
RIA
Registered Investment Advisory firm - (5/30/2018 Approved)Minnesota
Registered Investment Advisory firm - (7/10/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8 Pine Tree Drive Suite 125, Arden Hills, MN 55112
Mailing Address
Phone number
(651) 287-3712
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 399,982,181 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2025 | ||
| 03/11/2024 | ||
| 02/28/2024 | ||
| 12/28/2022 |
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.
