Joseph D. Stock

LAKE STREET

Chicago, IL 60607

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CRD#: 5816404

Professional summary

Joseph David Stock, CFP®, who also goes by Joseph D Stock, Joseph Stock, is a registered financial advisor currently at LAKE STREET located in Chicago, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Chicago, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph D Stock | Joseph Stock

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.

1. Lake Street Private Wealth, LLC. Investment Related. 128 N. May Street, Floor 2, Chicago IL 60607. Financial Services. Managing Partner. Start 12/2017. 160 hrs/mo, 6 hrs per day during trading. Co-Founder, managing partners, financial advisor. 2. PKSF. Investment Related. 80 State St, Albany NY 12207. Insurance. Agent. Start 10/2019. 5 hours per month, 1 during trading. Marketing and sales of non securities insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Stock'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: 2017

Experience

Current

May 16, 2018 - Present

LAKE STREET

Office #1: 128 N. May Street Floor 2, Chicago, IL 60607

RIA

CRD#: 296761

Chicago, IL

Current

October 2, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 128 N. May Street Floor 2, Chicago, IL 60607

CRD#: 35747

Chicago, IL

Past

June 15, 2018 - October 15, 2019

CANTELLA & CO., INC.

CRD#: 13905

Chicago, IL

Past

December 19, 2017 - June 15, 2018

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

chicago, IL

Past

December 15, 2017 - June 15, 2018

FSIC

CRD#: 37813

Chicago, IL

Past

June 12, 2013 - December 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

May 22, 2013 - December 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

February 19, 2013 - March 7, 2013

KRILOGY

RIA

CRD#: 149046

ST. LOUIS, MO

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".

LAKE STREET

CLARITY FINANCIAL GROUP | LAKE STREET PRIVATE WEALTH, LLC | LAKE STREET FINANCIAL, LLC | LAKE STREET | ELARIN WEALTH ADVISORS

CRD#: 296761 / SEC#: 801-113228

RIA

Registered Investment Advisory firm - (5/16/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/10/2020)

Florida
(10/2/2019)

Georgia
(10/2/2019)

IAR

Illinois
(5/16/2018)

Illinois
(10/2/2019)

Indiana
(1/7/2021)

Massachusetts
(10/2/2019)

Michigan
(3/8/2021)

New Mexico
(3/3/2025)

North Carolina
(10/2/2019)

Ohio
(10/2/2019)

Oregon
(10/2/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/25/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/1/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAKE STREET

CLARITY FINANCIAL GROUP | LAKE STREET PRIVATE WEALTH, LLC | LAKE STREET FINANCIAL, LLC | LAKE STREET | ELARIN WEALTH ADVISORS

CRD#: 296761 / SEC#: 801-113228

RIA

Registered Investment Advisory firm - (5/16/2018 Approved)

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Contact information

Main Address

128 N. May Street Floor 2, Chicago, IL 60607

Mailing Address

Phone number

(312) 766-7040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAKE STREET FINANCIAL (2/20/2025)

Regulatory assets under management

Total Number of Accounts	1,595
AUM (Assets Under Management)	$ 961,797,021

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/14/2025	Cover Page	Report
09/18/2024	Cover Page	Report
10/18/2023	Cover Page	Report
11/23/2022	Cover Page	Report

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 D. Stock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Stock's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CANTELLA & CO., INC.

UNITED ADVISORS SERVICES, LLC

FSIC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KRILOGY

Primary Firm SEC Registration

LAKE STREET

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/2013

Series 65

Date: 6/1/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/11/2013

FINRA

Current Firm

LAKE STREET

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LAKE STREET

TRUST BUT VERIFY

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