Joseph M. Abdou

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CRD#: 4842222

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.

Joseph Maxi Abdou was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 7 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 16, 2012 - November 16, 2018

ALAN BILLER AND ASSOCIATES

RIA

CRD#: 105283

MENLO PARK, CA

Past

December 1, 2008 - July 21, 2010

WIPFLI FINANCIAL ADVISORS, LLC

RIA

CRD#: 109983

SAN MATEO, CA

Past

May 5, 2005 - August 2, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MENLO PARK, CA

Past

May 5, 2005 - August 2, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MENLO PARK, CA

Past

January 5, 2005 - May 2, 2005

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LAFAYETTE, CA

Past

December 17, 2004 - May 2, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 17, 2004 - May 2, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 17, 2004 - December 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

REDWOOD SHORES, CA

Past

November 5, 2004 - December 8, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 5, 2004 - December 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ALAN BILLER AND ASSOCIATES

ALAN BILLER AND ASSOCIATES | ALAN D BILLER & ASSOCIATES, INC.

CRD#: 105283 / SEC#: 801-48432

RIA

Registered Investment Advisory firm - (2/8/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/4/2004

General Securities Representative Examination

Current Firm

ALAN BILLER AND ASSOCIATES

ALAN BILLER AND ASSOCIATES | ALAN D BILLER & ASSOCIATES, INC.

CRD#: 105283 / SEC#: 801-48432

RIA

Registered Investment Advisory firm - (2/8/1995 Approved)

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Contact information

Main Address

535 Middlefield Rd. Suite 230, Menlo Park, CA 94025

Mailing Address

Phone number

(650) 328-7283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ALAN BILLER AND ASSOCIATES_FORM ADV PART 2A (7/10/2025)

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 59,353,683,024

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 M. Abdou

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WIPFLI FINANCIAL ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALAN BILLER AND ASSOCIATES

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2004

Series 7

Date: 11/4/2004

Current Firm

ALAN BILLER AND ASSOCIATES

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALAN BILLER AND ASSOCIATES

TRUST BUT VERIFY

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