AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
JB

Joseph Snell Brocato

SOVRAN ADVISORS
Pasadena, CA
·CRD# 5108805·20 years experience

Professional Summary

Joseph Snell Brocato, who also goes by Joseph Brocato, Joseph Brocato, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Pasadena, California. Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joseph has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Joseph Brocato, Joseph Brocato

Blog Corner

Similar Advisors

Danielle Purcell Barrios
Beverly Hills, CA · CRD#
View profile
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

Years of Experience

20 years in the financial services industry

Current & Past Employments

SOVRAN ADVISORS, LLC·CRD# 329415
RIA
150 S Los Robles Ave Suite 750, Pasadena, CA 91101
February 23, 2024 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Pasadena, CA
February 22, 2024 - December 26, 2024
MML INVESTORS SERVICES, LLC·CRD# 10409
RIA
Pasadena, CA
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Pasadena, CA
March 25, 2017 - March 6, 2024
MSI FINANCIAL SERVICES, INC.·CRD# 14251
RIA
Pasadena, CA
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Pasadena, CA
December 17, 2012 - March 25, 2017
NEW ENGLAND SECURITIES·CRD# 615
RIA
Pasadena, CA
April 6, 2010 - January 2, 2015
NEW ENGLAND SECURITIES·CRD# 615
BD
Pasadena, CA
March 26, 2010 - January 2, 2015
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Woodland Hills, CA
July 17, 2006 - March 22, 2010
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Woodland Hills, CA
June 8, 2006 - March 22, 2010

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

Current Firm

SA
SOVRAN ADVISORS, LLC

AIMPOINT WEALTH MANAGEMENT | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PLR WEALTH MANAGEMENT | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OMEGA WEALTH STRATEGIES WEALTH MANAGEMENT & INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | EMPIRE PRIVATE WEALTH | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS | COMPASS CAPITAL | COLLEGE PLANNING AMERICA

CRD#: 329415 / SEC#: 801-129342
RIA
Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Contact Information

Main Address

3131 Camino Del Rio N. Suite 800, San Diego, CA 92108

Phone Number

(619) 281-9890

# of Employees

64

SEC notice filing (33 States and Territories)

Registered to provide investment advisory services in 33 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOVRAN ADVISORS, LLC - FORM ADV PART 2A (3/27/2026)

Regulatory Assets Under Management

Total Number of Accounts

6,135

AUM (Assets Under Management)

$1,874,347,252

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2006; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: GROWTH POINT SOLUTIONS INC.; INVESTMENT RELATED: NO; ADDRESS: CANYON COUNTRY, CA 91387 NATURE OF BUSINESS: BUSINESS/TAX PURPOSES; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: COMPANY WAS CREATED, AND IS USED FOR, BUSINESS TAX PURPOSES AND IS NOT PUBLIC FACING. 3. NAME OF OTHER BUSINESS: UNLIKELY HERO PRODUCTIONS, LLC; INVESTMENT RELATED: NO; ADDRESS: GLENDALE, CA 91205; NATURE OF BUSINESS: LEGAL AND TAX PURPOSES RELATED TO THE CREATION AND DISTRIBUTION OF FILM/MEDIA CONTENT; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OVERSEE, AND ENGAGE IN, ACTIVITIES RELATED TO CREATING DOCUMENTARY FILMS AND RELATED MEDIA CONTENT; 4. NAME OF OTHER BUSINESS: JOSEPH BROCATO - AUTHOR; INVESTMENT RELATED: NO; ADDRESS: CANYON COUNTRY, CA 91387 NATURE OF BUSINESS: ACT AS AN AUTHOR UNDER OWN NAME; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: WRITE ARTICLES FOR PUBLICATION IN FINANCIAL SERVICES RELATED PUBLICATION AND JOURNALS ON TOPICAL AREAS RANGING FROM PRACTICE MANAGEMENT TO BUSINESS MANAGEMENT AND SUCCESSION, LEADERSHIP DYNAMICS, AND PERFORMANCE AND MOTIVATIONAL STRATEGIES AND TACTICS; 5. NAME OF OTHER BUSINESS: JOSEPH BROCATO - FREELANCE CONSULTANT; INVESTMENT RELATED: NO; ADDRESS: CANYON COUNTRY, CA 91387 NATURE OF BUSINESS: FREELANCE CONSULTANT PERFORMED UNDER MY NAME AS A SOLE PROPRIETOR; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: FREELANCE CONSULTANT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: STRATEGIC COACHING CONSULTING SERVICES FOR FINANCIAL AND NON-FINANCIAL INDIVIDUALS AND BUSINESSES. SERVICES INCLUDE STRATEGIC AND TACTICAL BUSINESS COACHING, MARKETING AND BRANDING DEVELOPMENT, VIDEO PRODUCTION AND EDITING, PHOTOGRAPHY AND RETOUCHING, AND COPYWRITING AND DIAGNOSTIC DEVELOPMENT;

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

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".
SA
SOVRAN ADVISORS, LLC

AIMPOINT WEALTH MANAGEMENT | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PLR WEALTH MANAGEMENT | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OMEGA WEALTH STRATEGIES WEALTH MANAGEMENT & INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | EMPIRE PRIVATE WEALTH | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS | COMPASS CAPITAL | COLLEGE PLANNING AMERICA

CRD#: 329415 / SEC#: 801-129342
RIA
Registered Investment Advisory firm - SEC (1/12/2024 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.
IAR
California
(2/23/2024)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2006About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2014About the Series 24 exam

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Snell Brocato's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
AL
Annelyn Alita Lanuza

RBC CAPITAL MARKETS, LLC

BEVERLY HILLS, CA · CRD#
AF
Albert Edward Faber III

DIWY FINANCIAL PLANNING

LOS ANGELES, CA · CRD#
JB
Follow Joseph
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required