Joshua L. Gifford

PREMIER SOUTHWEST PLANNING GROUP

Scottsdale, AZ

Some features on this profile are disabled

CRD#: 7561166

Professional summary

Joshua L Gifford is a registered financial advisor currently at PREMIER SOUTHWEST PLANNING GROUP, LLC located in Scottsdale, Arizona.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Joshua has worked at 2 firms and has passed the Series 65 exam.

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.

Prefund the Police; no; Pheonix, AZ; Non-profit; Board Member; 07/2021; 5; 0; 5 Integrity Wealth Partners AZ, LLC; yes; Phoenix, AZ; Insurance Agent/ CEO;02/2021;25;0 Premier Southwest Benefits Group, Inc.; yes; Scottsdale, AZ; Insurance Agent; 01/2017; 25; 0; 25

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua L Gifford'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®

None

Experience

Current

June 17, 2022 - Present

PREMIER SOUTHWEST PLANNING GROUP, LLC

RIA

CRD#: 132868

Scottsdale, AZ

Past

June 7, 2023 - September 19, 2023

T&T CAPITAL MANAGEMENT

RIA

CRD#: 158407

Phoenix, AZ

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

Arizona
(6/17/2022)

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: 5/17/2022

Uniform Investment Adviser Law Examination

Current Firm

PREMIER SOUTHWEST PLANNING GROUP, LLC

CRD#: 132868 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2005 Approved)

California

Registered Investment Advisory firm - (5/15/2023 Approved)

Illinois

Registered Investment Advisory firm - (6/29/2023 Approved)

Nevada

Registered Investment Advisory firm - (5/6/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (5/1/2024 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).

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

Scottsdale, AZ

Mailing Address

Phone number

(480) 621-3646

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	505
AUM (Assets Under Management)	$ 68,049,988

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.

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua L. Gifford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua L Gifford's CRS (Customer Relationship Summary).

Certified licenses

Experience

PREMIER SOUTHWEST PLANNING GROUP, LLC

T&T CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2022

Current Firm

PREMIER SOUTHWEST PLANNING GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PREMIER SOUTHWEST PLANNING GROUP, LLC

TRUST BUT VERIFY

Similar Advisors