Joshua W. Giles

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CRD#: 6903467

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.

Joshua William Giles, who also goes by Joshua Giles, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2018. Joshua had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Joshua Giles

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.

CNUSD; Non-Investment Related; Teacher/Coach; Corona, CA; Started 07/2004

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

January 19, 2018 - March 11, 2025

PACIFIC CAPITAL

RIA

CRD#: 159294

Corona, CA

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".

PACIFIC CAPITAL

PACIFIC CAPITAL | PACIFIC CAPITAL WEALTH ADVISORS, INC.

CRD#: 159294 / SEC#: 801-80494

RIA

Registered Investment Advisory firm - (11/3/2014 Approved)

California

Registered Investment Advisory firm - (12/6/2014 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

Current Firm

PACIFIC CAPITAL

PACIFIC CAPITAL | PACIFIC CAPITAL WEALTH ADVISORS, INC.

CRD#: 159294 / SEC#: 801-80494

RIA

Registered Investment Advisory firm - (11/3/2014 Approved)

California

Registered Investment Advisory firm - (12/6/2014 Terminated)

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Contact information

Main Address

1861 California Avenue Suite 101, Corona, CA 92881

Mailing Address

Phone number

(844) 777-8777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (4/23/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 654,348,900

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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Joshua W. Giles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PACIFIC CAPITAL

Primary Firm SEC Registration

PACIFIC CAPITAL

State Registrations and Notice Filings

Exams

Current Firm

PACIFIC CAPITAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PACIFIC CAPITAL

TRUST BUT VERIFY

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