Joseph J. Cavazos

STOREN FINANCIAL

ZIONSVILLE, IN 46077

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CRD#: 7228063

Professional summary

Joseph John Cavazos, who also goes by Joseph J Cavazos, is a registered financial advisor currently at STOREN FINANCIAL located in Zionsville, Indiana and THE LEADERS GROUP, INC. located in Summit, New Jersey.

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 5 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph John Cavazos'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

January 15, 2026 - Present

STOREN FINANCIAL

Office #1: 1120 W Oak St Suite 200, Zionsville, IN 46077

RIA

CRD#: 339197

ZIONSVILLE, IN

Current

February 26, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

May 11, 2023 - December 31, 2025

BRASS TAX WEALTH MANAGEMENT

RIA

CRD#: 285249

Zionsville, IN

Past

January 27, 2022 - January 20, 2026

LPL FINANCIAL LLC

CRD#: 6413

ZIONSVILLE, IN

Past

November 13, 2020 - October 13, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, IN

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.

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

IAR

Indiana
(1/15/2026)

Indiana
(2/26/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/7/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 11/13/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/31/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

STOREN FINANCIAL

STOREN FINANCIAL | STOREN LEGACY PARTNERS, LLC

CRD#: 339197 / SEC#: 801-134761

RIA

Registered Investment Advisory firm - (11/21/2025 120-Day Approval)

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Contact information

Main Address

1120 W Oak St Suite 200, Zionsville, IN 46077

Mailing Address

Phone number

(317) 733-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STOREN FINANCIAL ADV PART 2 (11/20/2025)

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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Advisor Monitoring

Firm Stability Insights

Joseph J. Cavazos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THE LEADERS GROUP, INC.

BRASS TAX WEALTH MANAGEMENT

LPL FINANCIAL LLC

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2023

Series 63

Date: 12/4/2020

Series 6TO

Date: 8/7/2024

Series 7TO

Date: 11/13/2020

SIE

Date: 8/31/2020

FINRA

Current Firm

STOREN FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

STOREN FINANCIAL

TRUST BUT VERIFY

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