Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Peter Traba is a Managing Director and Senior Portfolio Manager at Strategy Asset Managers LLC. Joseph has over 24 years of experience in the financial services industry. Joseph is registered with the Securities and Exchange Commission as an Investment Advisor Representative (IAR) in California and Texas. Joseph holds the Series 7, 24, 55, 63, and SIE licenses. Joseph is also a Registered Options Principal (Series 4). He is an experienced and qualified financial professional who is committed to providing his clients with personalized investment advice and guidance.
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.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
02/03/2020 - Present
Strategy Asset Managers LLC (PASADENA CA)
CA
02/18/2014 - 04/29/2014
KEY WEST INVESTMENTS, LLC (SAN GABRIEL CA)
CA
05/17/2011 - 01/28/2014
GIRARD SECURITIES, INC. (PASADENA CA)
CA
06/03/2010 - 05/02/2011
SENTINEL SECURITIES, INC. (PASENDA CA)
CA
12/10/2008 - 06/22/2009
SOUTHWEST SECURITIES, INC. (BEVERLY HILLS CA)
CA
05/28/1997 - 12/31/2008
M.L. STERN & CO., LLC. (BEVERLY HILLS CA)
BC
Issued 06/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2008
Series 4 - Registered Options Principal Examination
BC
Issued 12/01/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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