JS
Joseph M. Stapleton
SPINNAKER INVESTMENT GROUP
Newport Beach, CA 92660
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CRD#: 5617995
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Professional summary
Joseph Muir Stapleton is a registered financial advisor currently at SPINNAKER INVESTMENT GROUP, LLC located in Newport Beach, 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, SIE and Series 7 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.
Spinnaker Investment Group, LLC, RIA, 4041 Macarthur Blvd., Suite 475, Newport Beach, CA 92660. President, 06/06/2016, 90% of my time. and Spinnaker Tax Group Councilman; City Council; investment related: No; Location: 100 Civic Center Drive Newport Beach CA 92660 USA; Description of the business: City offices; Responsibilities Duties: City Council; Start date with business: 2022-11-08; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 0; Newport Beach City Councilman ; investment related: No; Location: 100 Civic Center Dr Newport Beach CA 92660 USA; Description of the business: Legislative body for city of Newport Beach ; Responsibilities Duties: Legislative body of Newport Beach, govern the City of Newport Beach; Start date with business: 2022-12-13; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 1;
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Muir Stapleton'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
May 6, 2016 - Present
SPINNAKER INVESTMENT GROUP, LLC
Office #1: 4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660RIA
CRD#: 283414
Newport Beach, CA
Past
November 29, 2017 - August 26, 2024
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
LUTZ, FL
Past
October 31, 2014 - May 10, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
IRVINE, CA
Past
December 8, 2010 - September 13, 2016
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
RIA
CRD#: 144069
IRVINE, CA
Past
December 24, 2008 - November 24, 2010
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
IRVINE, CA
Past
December 11, 2008 - November 5, 2014
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
IRVINE, 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".
SI
SPINNAKER INVESTMENT GROUP, LLC
MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC
CRD#: 283414 / SEC#: 801-107671
RIA
Registered Investment Advisory firm - (4/15/2016 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(5/6/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
SPINNAKER INVESTMENT GROUP, LLC
MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC
CRD#: 283414 / SEC#: 801-107671
RIA
Registered Investment Advisory firm - (4/15/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 396-6700
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,437 |
| AUM (Assets Under Management) | $ 881,975,397 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/06/2024 |
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.
