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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Cappuccino is a financial advisor with Commonwealth Financial Network, a firm that provides financial planning, portfolio management, and other investment-related services to individuals, families, and businesses. Joseph has been in the financial services industry since 2014 and has a wide range of experience in helping clients achieve their financial goals. He is a Certified Financial Planner™ and is registered to provide investment advice in several states. Joseph holds Series 63, 65, and 7 securities licenses as well as the SIE exam. Commonwealth Financial Network is a Registered Investment Advisor and a member of FINRA/SIPC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/24/2023 - Present
Commonwealth Financial Network (Westlake Village CA)
CA
06/13/2018 - 05/26/2023
LPL FINANCIAL LLC (THOUSAND OAKS CA)
CA
05/20/2016 - 06/14/2018
GALT FINANCIAL GROUP, INC. (WESTLAKE VILLAGE CA)
CO
02/12/2015 - 04/07/2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
CA
10/30/2014 - 01/21/2015
GALT FINANCIAL GROUP, INC. (WESTLAKE VILLAGE CA)
IA
Issued 11/22/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/16/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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