Joseph Auday, financial advisor Woodland Hills CA
71 score

Joseph Auday

CRD Number: 5551666
Current Firm: Steel Peak Wealth Management, LLC

Joseph Auday (CRD# 5551666) is an Investment Advisor Representative working at Steel Peak Wealth Management, LLC in Woodland Hills, CA and has over 8 years of experience in the finance industry. Joseph Auday 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
Steel Peak Wealth Management, LLC Los Angeles, CA May 2015 - Current 1
Seacrest Wealth Management, LLC Purchase, NY Nov 2014 - May 2015 < 1
Bank Of America, N.a Santa Monica, CA Oct 2012 - Nov 2014 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica, CA Sep 2012 - Nov 2014 2
Gerber Kawasaki, Inc. Santa Monica, CA Jun 2010 - Sep 2012 2
Sagepoint Financial, Inc. Los Angeles, CA Jan 2009 - Sep 2012 3
I.c.m. Los Angeles, CA Jun 2008 - May 2010 1
Aig Financial Advisors Inc. Los Angeles, CA Jun 2008 - Jan 2009 < 1
Univaya LLC North Hollywood, CA Jan 2008 - Jun 2008 < 1
Penn State University University Park, PA Sep 2003 - Dec 2007 4
Mainline Metals Bala Cynwyd, PA May 2007 - Sep 2007 < 1
Penn State University University Park, PA Sep 2006 - May 2007 < 1
Infineon Richmond, VA Jan 2006 - Sep 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2008
S66 NASAA Uniform Combined State Law Examination Jun 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Joseph F. Auday
Phone Number: (818) 835-8720
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    465
    MILLIONS
  • Total Number of Accounts
    2,200
    ACCOUNTS
  • Average Account Value
    $211,548
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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)
Types of Clients
Registered States

AZ, CA, FL, NV, TX

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BADGES
71

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