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JC

Joseph G. Cruzan

CRUZAN & ASSOCIATES LLC
Jupiter, FL
Some features on this profile are disabled
CRD#: 5506337
JC

Professional summary

Joseph Gary Cruzan is a registered financial advisor currently at CRUZAN & ASSOCIATES LLC located in Jupiter, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Gary Cruzan'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®
None

Experience

Current

August 6, 2013 - Present

CRUZAN & ASSOCIATES LLC

RIA
CRD#: 167982
Jupiter, FL
Past

September 13, 2011 - August 1, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
YARDLEY, PA
Past

September 13, 2011 - August 1, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
YARDLEY, PA
Past

September 9, 2009 - September 1, 2011

MORGAN STANLEY

RIA
CRD#: 149777
NEWTOWN, PA
Past

September 9, 2009 - September 1, 2011

MORGAN STANLEY

BD
CRD#: 149777
NEWTOWN, PA
Past

June 1, 2009 - October 7, 2009

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
YARDLEY, PA
Past

January 30, 2009 - October 7, 2009

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
YARDLEY, PA
Past

September 4, 2008 - February 5, 2009

WADDELL & REED

BD
CRD#: 866
YARDLEY, PA

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
Florida
(4/4/2019)
IAR
Pennsylvania
(8/6/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 10/16/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/3/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

C&
CRUZAN & ASSOCIATES LLC
CRUZAN & ASSOCIATES LLC | CRUZAN & ASSOCIATES, INC. | CRUZAN & ASSOCIATES LLC

CRD#: 167982 / SEC#:

Florida
Registered Investment Advisory firm - (4/4/2019 Approved)
Pennsylvania
Registered Investment Advisory firm - (8/6/2013 Approved)
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Contact information

Main Address
Jupiter, FL
Mailing Address
Phone number
(215) 499-0611
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts34
AUM (Assets Under Management)$ 20,978,000

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

CRUZAN & ASSOCIATES LLC

CRD#: 167982Jupiter, FL

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