JF
Joseph N. Filosa
OPAL WEALTH ADVISORS
Jericho, NY 11753
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CRD#: 4768130
JF
Professional summary
Joseph Nino Filosa, CFP®, who also goes by Joseph Filosa, is a registered financial advisor currently at OPAL WEALTH ADVISORS, LLC located in Jericho, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Jericho, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Filosa
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) Opal Wealth Advisors. Investment Related. 2 Jericho Plaza, Jericho NY, 11753. RIA, Financial Advisor, Partner. Start 2/2018. 100hrs/mo, all during trading hours. Financial Advisor managing client relationships. 2) Brooklyn Tile & Design, LLC. Non-Investment related. 10205 Rockway Blvd S. Ozone Park, NY 11420. Sell Tile, marble, and kitchen cabinets - retail store. Consultant/Sales. Start 1/2013. 20hrs/mo, 0 during trading hours. Consulting and sales. 3)Wentworth Financial Partners. Non-investment related. 80 state st, Albany NY 12207. Fixed/Traditional Insurance, Agent. Start 1/2019. 10hrs/mo, 1hr during trading hours. 4) Brooklyn Tile Design & Build, LLC. Not Investment Related. 10205 Rockway Blvd S. Ozone Park, NY 11420. Construction, design and build. Partner. 1/1/2024. Hrs/month 10 with 0 during trading hours. Administrative functions and business development. 5) Brooklyn Title & Design Holdings LLC. Not Investment Related. 830 Hempstead Tpke, Franklin Square, NY 11010. Real Estate Holding. Partner. 1/1/2025. Hrs/month 1 with 0 during trading hours. Partner in a holding company that holds 1 piece of real estate.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Nino Filosa'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®
Experience
Current
January 18, 2019 - Present
OPAL WEALTH ADVISORS, LLC
Office #1: 2 Jericho Plaza Suite 208, Jericho, NY 11753RIA
CRD#: 289759
Jericho, NY
Current
January 18, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 2 Jericho Plaza Suite 208, Jericho, NY 11753BD
CRD#: 35747
Jericho, NY
Past
October 23, 2009 - January 22, 2019
MORGAN STANLEY
RIA
CRD#: 149777
GREAT NECK, NY
Past
October 23, 2009 - January 22, 2019
MORGAN STANLEY
BD
CRD#: 149777
GREAT NECK, NY
Past
May 29, 2007 - November 19, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GREAT NECK, NY
Past
May 9, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
GREAT NECK, NY
Past
June 18, 2004 - April 22, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
June 3, 2004 - July 12, 2004
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
WOODSTOCK, GA
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".
OW
OPAL WEALTH ADVISORS, LLC
BLAISE ADVISORS, LLC | OPAL WEALTH ADVISORS, LLC
CRD#: 289759 / SEC#: 801-114223
RIA
Registered Investment Advisory firm - (11/1/2018 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/18/2019)
RR
California(1/18/2019)
RR
Connecticut(1/18/2019)
RR
District of Columbia(1/18/2019)
RR
Florida(1/18/2019)
RR
Georgia(1/18/2019)
RR
Maine(1/18/2019)
RR
Maryland(1/18/2019)
RR
Massachusetts(1/23/2019)
RR
Michigan(1/18/2019)
RR
Minnesota(10/8/2021)
RR
New Jersey(1/18/2019)
RR
New York(1/18/2019)
IAR
New York(2/3/2021)
RR
Pennsylvania(7/9/2024)
RR
Texas(1/18/2019)
IAR
Texas(1/18/2019)
RR
Virginia(1/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OPAL WEALTH ADVISORS, LLC
BLAISE ADVISORS, LLC | OPAL WEALTH ADVISORS, LLC
CRD#: 289759 / SEC#: 801-114223
RIA
Registered Investment Advisory firm - (11/1/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Jericho Plaza Suite 208, Jericho, NY 11753
Mailing Address
Phone number
(516) 388-7980
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,097 |
| AUM (Assets Under Management) | $ 1,029,200,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/16/2024 | ||
| 01/05/2024 | ||
| 11/01/2022 |
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.
