Joseph J. Bautista

BAUTISTA PLANNING AND ANALYTICS

Sandy, OR

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CRD#: 6442802

Professional summary

Joseph Johnson Bautista, CFP®, who also goes by Joe Bautista, Joey Bautista, is a registered financial advisor currently at BAUTISTA PLANNING AND ANALYTICS, LLC located in Sandy, Oregon.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Biography

I grew up in Oregon, joined the Marines at 18, and currently, I'm living as a digital nomad in Latin America with the goal of learning Spanish.

Question & Answer

What are your service offerings?

Small Business Planning

Comprehensive Financial Planni...

Tax Planning

Do you have an area of expertise or specialization?

AUM

Baby Boomers

Business Owners

Cash Flow/Budgets/Credit Issue...

College/Education Planning

Entrepreneurs

Are you a "fiduciary"?

Yes

Aliases

Joe Bautista | Joey Bautista

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.

Joseph Bautista provides individuals with self-development coaching and promotes his published self development book, newsletter, and course. Joseph Bautista will not promote or recommend these outside products or business activities unless they are in the best interest of the client and only after full disclosure has been made to the client as to the separate and additional fees for those products or services related to the outside business activities. This activity accounts for up to 25% of his time. Joseph Bautista also provides businesses with business development services. Joseph Bautista will not promote or recommend these outside products or business activities unless they are in the best interest of the client and only after full disclosure has been made to the client as to the separate and additional fees for those products or services related to the outside business activities. This activity accounts for up to 25% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Johnson Bautista'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

Start date: 2021

Experience

Current

June 24, 2019 - Present

BAUTISTA PLANNING AND ANALYTICS, LLC

RIA

CRD#: 301150

Sandy, OR

Past

December 15, 2015 - February 7, 2019

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

March 23, 2015 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

ALEXANDRIA, VA

Past

February 25, 2015 - February 7, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

ALEXANDRIA, VA

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

Oregon
(6/24/2019)

IAR

Texas
(12/7/2020)

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 65

Date: 3/21/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/25/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BAUTISTA PLANNING AND ANALYTICS, LLC

BAUTISTA PLANNING AND ANALYTICS, LLC | GROW WITH JOE, LLC | BAUTISTA, JOSEPH, JOHNSON

CRD#: 301150 / SEC#:

Oregon

Registered Investment Advisory firm - (6/24/2019 Approved)

Texas

Registered Investment Advisory firm - (12/2/2020 Conditional Restricted)

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Contact information

Main Address

Sandy, OR

Mailing Address

Phone number

(458) 227-9655

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 985,000

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.

Contact information

(xxx) xxx-xxxx

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Joseph J. Bautista

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Johnson Bautista's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAUTISTA PLANNING AND ANALYTICS, LLC

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2015

Series 63

Date: 3/7/2015

SIE

Date: 10/1/2018

Series 6

Date: 2/25/2015

Current Firm

BAUTISTA PLANNING AND ANALYTICS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAUTISTA PLANNING AND ANALYTICS, LLC

TRUST BUT VERIFY

Contact information

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