JP
Joseph J. Puetz
ACRYLIC FINANCIAL
Elkhorn, NE
Some features on this profile are disabled
CRD#: 5438783
JP
Professional summary
Joseph James Puetz, who also goes by Joe James Puetz, Joe Puetz, is a registered financial advisor currently at ACRYLIC FINANCIAL, INC. located in Elkhorn, Nebraska.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe James Puetz | Joe Puetz
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph James Puetz's 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®
NoneExperience
Current
June 30, 2020 - Present
ACRYLIC FINANCIAL, INC.
RIA
CRD#: 288263
Elkhorn, NE
Past
November 7, 2019 - June 26, 2020
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
ELKHORN, NE
Past
March 24, 2017 - November 5, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
OMAHA, NE
Past
February 23, 2017 - November 5, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
OMAHA, NE
Past
January 7, 2016 - February 6, 2017
QUANTUM FINANCIAL PARTNERS LLC
RIA
CRD#: 138112
Omaha, NE
Past
March 5, 2014 - December 2, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
OMAHA, NE
Past
October 10, 2013 - December 2, 2015
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
OMAHA, NE
Past
October 11, 2012 - September 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PAPILLION, NE
Past
August 15, 2012 - September 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PAPILLION, NE
Past
September 29, 2011 - August 16, 2012
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
ELKHORN, NE
Past
January 3, 2008 - October 16, 2009
FINANCIAL WEST GROUP
RIA
CRD#: 16668
OMAHA, NE
Past
October 25, 2007 - October 16, 2009
FINANCIAL WEST GROUP
BD
CRD#: 16668
OMAHA, NE
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".
AF
ACRYLIC FINANCIAL, INC.
ACRYLIC FINANCIAL, INC. | CORNERSTONE FINANCIAL GROUP | BROKERS ALLIANCE INVESTMENTS, INC.
CRD#: 288263 / SEC#: 801-123623
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)Arizona
Registered Investment Advisory firm - (4/14/2022 Terminated)California
Registered Investment Advisory firm - (5/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (4/15/2022 Terminated)Florida
Registered Investment Advisory firm - (4/14/2022 Terminated)Illinois
Registered Investment Advisory firm - (4/14/2022 Terminated)Kansas
Registered Investment Advisory firm - (4/14/2022 Terminated)Maryland
Registered Investment Advisory firm - (4/21/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (4/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (4/20/2022 Terminated)Nebraska
Registered Investment Advisory firm - (4/14/2022 Terminated)North Dakota
Registered Investment Advisory firm - (4/14/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (4/14/2022 Terminated)Texas
Registered Investment Advisory firm - (4/14/2022 Terminated)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
Nebraska(6/30/2020)
IAR
Texas(8/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
ACRYLIC FINANCIAL, INC.
ACRYLIC FINANCIAL, INC. | CORNERSTONE FINANCIAL GROUP | BROKERS ALLIANCE INVESTMENTS, INC.
CRD#: 288263 / SEC#: 801-123623
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)Arizona
Registered Investment Advisory firm - (4/14/2022 Terminated)California
Registered Investment Advisory firm - (5/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (4/15/2022 Terminated)Florida
Registered Investment Advisory firm - (4/14/2022 Terminated)Illinois
Registered Investment Advisory firm - (4/14/2022 Terminated)Kansas
Registered Investment Advisory firm - (4/14/2022 Terminated)Maryland
Registered Investment Advisory firm - (4/21/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (4/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (4/20/2022 Terminated)Nebraska
Registered Investment Advisory firm - (4/14/2022 Terminated)North Dakota
Registered Investment Advisory firm - (4/14/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (4/14/2022 Terminated)Texas
Registered Investment Advisory firm - (4/14/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
16930 East Palisades Blvd. Suite 100-c, Fountain Hills, AZ 85268
Mailing Address
Phone number
(833) 422-7954
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 298 |
| AUM (Assets Under Management) | $ 58,442,331 |
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.
