Joseph M. Lumarda
Professional summary
Joseph Matthew Lumarda, who also goes by Joe Lumarda, is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Joseph has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Matthew Lumarda's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 333 South Hope Street, Los Angeles, CA 90071January 19, 2016 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
July 24, 2009 - January 19, 2016
CAPITAL GUARDIAN TRUST COMPANY
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/31/2021)
(7/1/2021)
Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
Red Flags
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