Joseph Lepore

WINCAP FINANCIAL LLC

PEABODY, MA

Some features on this profile are disabled

CRD#: 6983193

Professional summary

Joseph Lepore is a registered financial advisor currently at WINCAP FINANCIAL LLC located in Peabody, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Joseph has worked at 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Lepore'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®

None

Experience

Current

May 13, 2024 - Present

WINCAP FINANCIAL LLC

Office #2: 58 Pulaski Street Building A, Peabody, MA 01960

RIA

CRD#: 315798

PEABODY, MA

Past

June 4, 2024 - February 2, 2026

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Peabody, MA

Past

May 14, 2024 - February 2, 2026

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

October 2, 2018 - May 16, 2024

EDWARD JONES

RIA

CRD#: 250

Peabody, MA

Past

August 28, 2018 - May 16, 2024

EDWARD JONES

CRD#: 250

Peabody, MA

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".

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 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.

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
(5/13/2024)

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: 9/21/2018

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: 8/28/2018

General Securities Representative Examination

Current Firm

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 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

55 Union Street, Boston, MA 02108

Mailing Address

Phone number

(617) 590-3250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINCAP FINANCIAL DISCLOSURE BROCHURE (6/23/2025)

Regulatory assets under management

Total Number of Accounts	466
AUM (Assets Under Management)	$ 153,250,285

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

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 Lepore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

WINCAP FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2018

Current Firm

WINCAP FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINCAP FINANCIAL LLC

TRUST BUT VERIFY

Contact information

Similar Advisors