Joshua Wakefield, financial advisor Newport Beach CA
90 score

Joshua Wakefield

CRD Number: 5990218
Current Firm: Mml Investors Services, LLC

Joshua Wakefield (CRD# 5990218) is an Investment Advisor Representative working at Mml Investors Services, LLC in Newport Beach, CA and has over 4 years of experience in the finance industry. Joshua Wakefield has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Mml Investors Services, LLC Newport Beach, CA Jun 2016 - Current < 1
Massmutual Life Insurance Company Newport Beach, CA May 2016 - Current < 1
Todd Tripp/ Northwestern Mutual Newport Beach, CA Jan 2016 - May 2016 < 1
Northwestern Mutual Investment Services, LLC Irvine, CA Jan 2012 - May 2016 4
Northwestern Mutual Investment Services, LLC Irvine, CA Feb 2014 - Jan 2016 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Oct 2011 - Jan 2016 4
Community Access Network Corona, CA May 2011 - Sep 2011 < 1
Hillview Acres Children's Home Chino, CA Aug 2008 - Apr 2011 2
Moody Bible Institute Chicago, IL Aug 2004 - Jul 2008 3
The Sports And Fitness Edge Of Essex Essex, VT Oct 2002 - Jul 2008 5
Moody Bible Institute Chicago, IL Aug 2006 - May 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2012
S65 NASAA Investment Advisors Law Examination Feb 2014
Contact Info for Joshua D. Wakefield
Phone Number: (413)737-8400
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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