Unclaimed Profile

Joseph Peter Traba

WESPAC ADVISORS SOCAL, LLC·PASADENA, California

SIE, Series 4, Series 7, Series 24, Series 55, Series 57TO, Series 63Clean record22 years registeredWESPAC ADVISORS SOCAL, LLC

201 S. LAKE AVENUE, PASADENA, CA 91101CRD# 2749525Firm CRD# 158413

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joseph Peter Traba · PASADENA, CA

Registration

CRD #2749525 · WESPAC ADVISORS SOCAL, LLC · 22 years registered

Brand Profile

Not yet started

Career History

STRATEGY ASSET MANAGERS L.L.C.

Feb 2020 – present

THE LEADERS GROUP, INC.

Apr 2014 – present

STONEMARK WEALTH MANAGEMENT

Sep 2011 – Feb 2020

PASADENA, CA

WESPAC ADVISORS, LLC

Mar 2010 – Jan 2012

ORINDA, CA

SOUTHWEST SECURITIES, INC.

Dec 2008 – Jun 2009

BEVERLY HILLS, CA

M. L. STERN & CO, LLC.

May 2004 – Dec 2008

BEVERLY HILLS, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 55

Series 57TO

Series 63

Registration record

First registered · May 17, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WESPAC ADVISORS SOCAL, LLC

CRD 158413 · SEC 801-77286

AUM

$427M

Regulatory assets under management

Employees

748 client accounts

Services offered by WESPAC ADVISORS SOCAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WESPAC ADVISORS SOCAL, LLC →

Introduction

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Frequently Asked Questions

What services does Joseph Peter Traba offer?

Joseph Peter Traba specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in PASADENA, California for a consultation.

What are Joseph Peter Traba's credentials?

Joseph Peter Traba is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Peter Traba located?

Joseph Peter Traba is based in PASADENA, California, working with WESPAC ADVISORS SOCAL, LLC. Their office serves clients in the PASADENA metropolitan area and surrounding communities.

How does Joseph Peter Traba charge for services?

Joseph Peter Traba's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WESPAC ADVISORS SOCAL, LLC?

WESPAC ADVISORS SOCAL, LLC has approximately 7 employees and manages $427M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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