Joseph Sweis, financial advisor Walnut Creek CA
84 score

Joseph Sweis

CRD Number: 5518419
Current Firm: Pearl Wealth Advisors, LLC

Joseph Sweis (CRD# 5518419) is an Investment Advisor Representative working at Pearl Wealth Advisors, LLC in Walnut Creek, CA and has over 9 years of experience in the finance industry. Joseph Sweis 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.

Similar Advisors
John McNertney, financial advisor Walnut Creek CA
John T. McNertney
CRD# 2289402
Polaris Greystone Financial Group, LLC
Score
106
Similar Advisors
George Salter II, financial advisor Walnut Creek CA
George A. Salter II
CRD# 4512665
Blossom Wealth Management, LLC
Score
108
Similar Advisors
Karl Mills, financial advisor Walnut Creek CA
Karl O. Mills
CRD# 2040384
Jurika, Mills & Keifer, LLC
Score
107
Professional Designations
Company Name Location Dates Years
Pearl Wealth Advisors, LLC Walnut Creek, CA Oct 2017 - Current < 1
Cetera Advisor Networks LLC El Segundo, CA Jul 2015 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Mateo, CA Nov 2010 - Aug 2015 4
Waddell & Reed, Inc. San Mateo, CA Nov 2009 - Nov 2010 1
Various Insurance Carriers For W&r Insurance Agencies, Inc. Burlingame, CA Nov 2009 - Nov 2010 1
Unemployed South San Francisco, CA Oct 2009 - Nov 2009 < 1
Ameriprise Financial San Francisco, CA Apr 2008 - Oct 2009 1
Marcus & Millichap San Francisco, CA Aug 2007 - Mar 2008 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2008
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Joseph N. Sweis
Phone Number: 650-444-1386
Registered State(s):
  • CA
Current Firm Details
Pearl Wealth Advisors, LLC
Firm's CRD Number: 289802
By the Numbers
  • Total Assets Under Management
    44
    MILLIONS
  • Total Number of Accounts
    128
    ACCOUNTS
  • Average Account Value
    $344,524
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • 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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
84

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.