Joseph F. Auday

STEELPEAK WEALTH

BEVERLY HILLS, CA 90212

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CRD#: 5551666

Professional summary

Joseph Frederick Auday, CFP®, who also goes by Joseph Auday, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Beverly Hills, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Auday

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.

FEDERICO LIBBI, 1301 S. CATALINA AVE., UNIT F, REDONODO BEACH, CA 90277 INVESTMENT RLT'D YES, COMPENSATION FOR ACTIVITY YES, HRS DEVOTED TO ACTIVITY 2, HRS DURING TRADING 0, DATE ACTIVITY BEGAN 02/01/11, POSITION FAMILY HELD; HELP MY MOTHER PURCHASE AND SELL REALESTATE. KEEP TRACK OF NUMBERS. LLC REAL ESTATE OPTIMIZED INC.; NOT INVESTMENT RELATED; 40 HOURS/MONTH; 0 HOURS DURING MARKET HOURS; BEVERLY HILLS, CA; VICE PRESIDENT AND CFO; FINANCIAL OFFICER OVERSEEING BUSINESS OPERATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frederick Auday'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

May 20, 2015 - Present

STEELPEAK WEALTH, LLC

Office #1: 9465 Wilshire Boulevard Suite 300, Beverly Hills, CA 90212Office #2: 15333 North Pima Road, Scottsdale, AZ 85260

RIA

CRD#: 165168

BEVERLY HILLS, CA

Past

November 20, 2014 - May 19, 2015

SEACREST WEALTH MANAGEMENT, LLC

RIA

CRD#: 147092

BEVERLY HILLS, CA

Past

September 18, 2012 - November 11, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SANTA MONICA, CA

Past

September 17, 2012 - November 11, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SANTA MONICA, CA

Past

July 20, 2010 - September 20, 2012

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

RIA

CRD#: 153649

SANTA MONICA, CA

Past

June 23, 2008 - September 21, 2012

OSAIC SERVICES, INC.

CRD#: 133763

SANTA MONICA, 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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 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

Arizona
(12/1/2017)

IAR

California
(5/20/2015)

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 66

Date: 6/15/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/27/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/21/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/14/2009

General Securities Principal Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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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Firm Stability Insights

Joseph F. Auday

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frederick Auday's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEACREST WEALTH MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

OSAIC SERVICES, INC.

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2010

Series 63

Date: 6/27/2008

SIE

Date: 11/11/2014

Series 7

Date: 4/1/2009

Series 6

Date: 6/21/2008

Series 24

Date: 7/14/2009

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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