Joseph A. Armisto

SHEPHERD KAPLAN LLC

Brewster, NY 10509

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CRD#: 6063682

Professional summary

Joseph A Armisto, CFP® is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Brewster, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Joseph has worked at 4 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.

Name of Business: Pointe44 Advisors, LLC. Investment Related (y/n): No., Address: 3 Clock Tower Commons, Suite 317 Brewster, NY 10509. Nature of the business: Family Office, Financial Planning, Title: Owner, Relationship with other business, Owner. Start date of your relationship: June 2019. Approx. # of hours/months you devote: currently 170+ hours per month but will continue to diminish over time. Briefly describe duties: Advising clients on financial planning topics\matters. Coordination amongst clients existing professional relationships.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph A Armisto'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®

CFP^®

Certified Financial Planner

Experience

Current

November 17, 2020 - Present

SHEPHERD KAPLAN LLC

Office #1: 1105 Scarborough Drive, Brewster, NY 10509

RIA

CRD#: 128244

Brewster, NY

Past

January 2, 2019 - July 10, 2019

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 7, 2017 - January 3, 2019

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

NEW YORK, NY

Past

July 5, 2017 - January 3, 2019

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

NEW YORK, NY

Past

March 17, 2014 - August 24, 2017

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 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

Massachusetts
(11/17/2020)

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: 12/29/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2014

General Securities Representative Examination

Current Firm

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 Approved)

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Contact information

Main Address

53 State Street 23rd Floor, Boston, MA 02109-2820

Mailing Address

Phone number

(617) 896-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN FORM ADV PART II (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,351
AUM (Assets Under Management)	$ 9,398,575,271

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 A. Armisto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph A Armisto's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

SHEPHERD KAPLAN LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2014

Current Firm

SHEPHERD KAPLAN LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN LLC

TRUST BUT VERIFY

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