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JB

Joseph S. Brocato

SOVRAN ADVISORS
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 5108805
JB

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.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph Brocato | Joseph Brocato

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 Snell Brocato'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

February 23, 2024 - Present

SOVRAN ADVISORS, LLC

Office #1: 150 S Los Robles Ave Ste 750, Pasadena, CA 91101
RIA
CRD#: 329415
Pasadena, CA
Past

February 22, 2024 - December 26, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
PASADENA, CA
Past

March 25, 2017 - March 6, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
PASADENA, CA
Past

March 25, 2017 - March 6, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
PASADENA, CA
Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
PASADENA, CA
Past

December 17, 2012 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
PASADENA, CA
Past

April 6, 2010 - January 2, 2015

NEW ENGLAND SECURITIES

RIA
CRD#: 615
PASADENA, CA
Past

March 26, 2010 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
PASADENA, CA
Past

July 17, 2006 - March 22, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODLAND HILLS, CA
Past

June 8, 2006 - March 22, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODLAND HILLS, 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".
SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND 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 | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS

CRD#: 329415 / SEC#: 801-129342

RIA
Registered Investment Advisory firm - (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.

Highlighted states indicate IAR registrations

IAR
California
(2/23/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/13/2014
General Securities Principal Examination

Current Firm

SA
SOVRAN ADVISORS, LLC
COMPASS CAPITAL | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND 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 | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS

CRD#: 329415 / SEC#: 801-129342

RIA
Registered Investment Advisory firm - (1/12/2024 Approved)
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Contact information

Main Address
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108
Mailing Address
Phone number
(619) 281-9890
Established
Firm type
Fiscal year end
# of Employees
58

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOVRAN ADVISORS, LLC - FORM ADV PART 2A (12/2/2025)

Regulatory assets under management

Total Number of Accounts4,470
AUM (Assets Under Management)$ 1,308,617,291

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.

Company Information

SOVRAN ADVISORS, LLC

CRD#: 329415Pasadena, CA 91101

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