Joseph M. Altman

ALPHASTAR CAPITAL MANAGEMENT

Hudson, WI 54016

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CRD#: 4945069

Professional summary

Joseph M Altman, who also goes by Joe M Altman, Joseph Michael Altman, is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Hudson, Wisconsin.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe M Altman | Joseph Michael Altman

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. RENTAL PROPERTY; INVESTMENT RELATED; HUDSON, WI; LANDLORD; START DATE 09/21/2009; 2 HOURS PER MONTH/0 DURING TRADING. 2. RENTAL PROPERTY; INVESTMENT RELATED; HUDSON, WI; LANDLORD; START DATE 02/27/2012; 2 HOURS PER MONTH/0 DURING TRADING. 3. Principal Preservation Services, LLC. Non-Investment Related (Insurance). Position: Agent and devotes 16 professional hours per month. 4. Principal Wealth Services, LLC. Investment related. Position: Financial Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Altman'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

October 25, 2023 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 400 2nd Street S, Suite 230, Hudson, WI 54016

RIA

CRD#: 157423

Hudson, WI

Past

December 9, 2022 - July 10, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAINT PAUL, MN

Past

October 28, 2022 - July 10, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAINT PAUL, MN

Past

June 22, 2016 - June 17, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAINT PAUL, MN

Past

December 11, 2015 - June 17, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAINT PAUL, MN

Past

May 7, 2015 - August 6, 2015

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 18, 2011 - May 6, 2015

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WOODBURY, MN

Past

June 2, 2006 - May 26, 2009

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WOODBURY, MN

Past

April 15, 2005 - July 11, 2005

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 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

Minnesota
(7/22/2025)

IAR

Wisconsin
(10/25/2023)

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 65

Date: 12/6/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/2005

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: 7/9/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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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Firm Stability Insights

Joseph M. Altman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

HARTFORD FUNDS DISTRIBUTORS, LLC

HARTFORD FUNDS DISTRIBUTORS, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2022

Series 63

Date: 4/22/2005

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2015

Series 6

Date: 4/14/2005

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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