Joseph F. Valenza

Some features on this profile are disabled

CRD#: 6106136

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Francis Valenza, who also goes by Joe Valenza, Joseph Francis Valenza, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2013. Joseph had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Valenza | Joseph Francis Valenza

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. Rental property; located at 1948 Lycoming Avenue Abington PA 19001; Owner; 12/31/16; approximately 0% of time spent during securities trading hours per month; Owner and maintenance of "two" rental apartments; not conducted at branch location; Investment related. 2. Prosperity - An EisnerAmper Company; 1 Logan Square 130 N 18th St Suite 3000 Philadelphia PA 19103, Financial Advisor, as of 09/2022; 25% of time spend during business hours; Conducted at branch; investment related.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 15, 2023 - October 24, 2025

PROSPERITY - AN EISNERAMPER COMPANY

RIA

CRD#: 133777

Sunrise, FL

Past

March 1, 2023 - September 8, 2025

DAI SECURITIES, LLC

CRD#: 36673

PHILADELPHIA, PA

Past

September 12, 2022 - January 20, 2023

APW CAPITAL, INC.

CRD#: 43814

Philadelphia, PA

Past

September 1, 2022 - November 15, 2023

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

RIA

CRD#: 121863

Philadelphia, PA

Past

July 5, 2016 - September 12, 2022

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Phiadelphia, PA

Past

December 18, 2015 - September 12, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Phiadelphia, PA

Past

September 23, 2014 - December 1, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RADNOR, PA

Past

July 8, 2013 - July 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RADNOR, PA

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/30/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph F. Valenza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAI SECURITIES, LLC

APW CAPITAL, INC.

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2016

Series 63

Date: 11/30/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2016

Series 6

Date: 7/8/2013

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

Similar Advisors