Joseph J. Serrapede

NORTHWIND FINANCIAL

BEND, OR 97703-3568

Some features on this profile are disabled

CRD#: 7832203

Professional summary

Joseph John Serrapede is a registered financial advisor currently at NORTHWIND FINANCIAL LLC located in Bend, Oregon.

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

At a Glance

Always Fiduciary

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 John Serrapede'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

June 25, 2026 - Present

NORTHWIND FINANCIAL LLC

Office #1: 2445 Ne Division St Ste 204, Bend, OR 97703-3568

RIA

CRD#: 342069

BEND, OR

Past

November 9, 2023 - July 28, 2026

CAPSTONE WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 128097

BEND, OR

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

Oregon
(6/25/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/2023

Uniform Investment Adviser Law Examination

Current Firm

NORTHWIND FINANCIAL LLC

CRD#: 342069 / SEC#: 801-136199

RIA

Registered Investment Advisory firm - (5/6/2026 120-Day Approval)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2445 Ne Division St Ste 204, Bend, OR 97703-3568

Mailing Address

Phone number

(541) 318-7871

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHWIND FINANCIAL LLC ADV PART 2A (4/13/2026)

Regulatory assets under management

Total Number of Accounts	328
AUM (Assets Under Management)	$ 105,443,057

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

Andrew Sbardella

EQUITABLE ADVISORS, LLC

IAR

CHARLOTTE, NC

Maximilian Soares

CHARLES SCHWAB & CO., INC.

IAR

Upland, CA

Matthew Day

RBC CAPITAL MARKETS, LLC

IAR

STAMFORD, CT

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph J. Serrapede

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NORTHWIND FINANCIAL LLC

CAPSTONE WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2023

Current Firm

NORTHWIND FINANCIAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWIND FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors