JC
Joseph J. Cavazos
BRASS TAX WEALTH MANAGEMENT
Zionsville, IN 46077
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CRD#: 7228063
JC
Professional summary
Joseph John Cavazos, who also goes by Joseph J Cavazos, is a registered financial advisor currently at BRASS TAX WEALTH MANAGEMENT located in Zionsville, Indiana and LPL FINANCIAL LLC located in Zionsville, Indiana.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph J Cavazos
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.
LPL Financial, LLC; Yes; Cincinnati, OH; Broker-Dealer; Registered Representative; 01/2022; 160/MO; 0/MO 1) 1/2022 - DBA for LPL Business (entity for LPL business) - Storen Financial Advisory Group - Investment Related - Zionsville, IN 46077 2) 1/2022 - DBA for LPL Business (entity for LPL business) - Storen Financial - Investment Related - Zionsville, IN 46077 3)1/2022 - DBA for LPL Business (entity for LPL business) - Storen Financial Group - Investment Related - Zionsville, IN 46077 4) 03/03/2022 - Brass Tax Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin - Start Date: 11/2021 - 160 Hours Per Month/130 Hours During Securities Trading - I provide administrative support to Brass Tax Wealth Management, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 03/03/2022 - Brass Tax Wealth Management - DBA: (Hybrid) Storen Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin - Start Date: 11/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 6) 03/03/2022 - Brass Tax Wealth Management - DBA: (Hybrid) Storen Financial Advisory Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin - Start Date: 11/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 7) 03/03/2022 - Brass Tax Wealth Management - DBA: (Hybrid) Storen Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin - Start Date: 11/2021 - 160 Hours Per Month/130 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph John Cavazos'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®
NoneExperience
Current
May 11, 2023 - Present
BRASS TAX WEALTH MANAGEMENT
Office #1: 1120 W Oak St., Zionsville, IN 46077RIA
CRD#: 285249
Zionsville, IN
Current
January 27, 2022 - Present
LPL FINANCIAL LLC
Office #1: 1120 West Oak Street Suite 200, Zionsville, IN 46077RIA
BD
CRD#: 6413
Zionsville, IN
Past
November 13, 2020 - October 13, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Indianapolis, IN
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".
BT
BRASS TAX WEALTH MANAGEMENT
BRASS TAX WEALTH MANAGEMENT | STOREN FINANCIAL | SCHULTE FINANCIAL GROUP | MWZ FINANCIAL | GLOBAL FINANCIAL PARTNERS | BRASS TAX WEALTH MANAGEMENT, INC.
CRD#: 285249 / SEC#: 801-111006
RIA
Registered Investment Advisory firm - (8/14/2017 Approved)Indiana
Registered Investment Advisory firm - (8/17/2017 Terminated)Ohio
Registered Investment Advisory firm - (8/18/2017 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Indiana(1/27/2022)
IAR
Indiana(5/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/7/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/13/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BRASS TAX WEALTH MANAGEMENT
BRASS TAX WEALTH MANAGEMENT | STOREN FINANCIAL | SCHULTE FINANCIAL GROUP | MWZ FINANCIAL | GLOBAL FINANCIAL PARTNERS | BRASS TAX WEALTH MANAGEMENT, INC.
CRD#: 285249 / SEC#: 801-111006
RIA
Registered Investment Advisory firm - (8/14/2017 Approved)Indiana
Registered Investment Advisory firm - (8/17/2017 Terminated)Ohio
Registered Investment Advisory firm - (8/18/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4755 Cornell Road Suite 102a, Cincinnati, OH 45241
Mailing Address
Phone number
(513) 605-3394
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,872 |
| AUM (Assets Under Management) | $ 860,227,526 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
