Joseph W. Arena

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CLEARWATER, FL

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CRD#: 4997368

Professional summary

Joseph William Arena, who also goes by Joseph W Arena, is a registered financial advisor currently at QUARTZ PARTNERS INVESTMENT MANAGEMENT located in Clearwater, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Joseph has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph W Arena

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) - RIA

Click below to view Joseph William Arena'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

January 27, 2015 - Present

QUARTZ PARTNERS INVESTMENT MANAGEMENT

RIA

CRD#: 174327

CLEARWATER, FL

Past

August 31, 2022 - October 11, 2023

ETICO WEALTH MANAGEMENT LLC

RIA

CRD#: 151046

Clearwater, FL

Past

December 5, 2013 - December 23, 2014

PAGEONE FINANCIAL, INC.

RIA

CRD#: 105340

MALTA, NY

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".

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 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

California
(3/12/2021)

IAR

Colorado
(3/30/2021)

IAR

Florida
(4/13/2021)

IAR

Hawaii
(4/20/2021)

IAR

Nebraska
(3/29/2021)

IAR

New York
(3/29/2021)

IAR

Ohio
(3/12/2021)

IAR

Pennsylvania
(4/7/2021)

IAR

Texas
(1/27/2015)

IAR

Washington
(3/30/2021)

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: 2/7/2013

Uniform Investment Adviser Law Examination

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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Contact information

Main Address

19 Railroad Place Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(800) 433-0422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUARTZ PARTNERS ADV PART 2A: CLIENT BROCHURE (3/31/2025)

QUARTZ PARTNERS WRAP BROCHURE (3/31/2025)

ETICO ADV 2A PRIVATE CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,124
AUM (Assets Under Management)	$ 281,034,901

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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Joseph W. Arena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

QUARTZ PARTNERS INVESTMENT MANAGEMENT

ETICO WEALTH MANAGEMENT LLC

PAGEONE FINANCIAL, INC.

Primary Firm SEC Registration

QUARTZ PARTNERS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2013

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUARTZ PARTNERS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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