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Inactive

Joseph Alfonso

Aegis Financial Advisory

Lake Oswego, OR

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Current Employers
Aegis Financial Advisory

5200 Meadows Rd Suite 150, Lake Oswego, OR 97035 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2011-01-03
CA RA APPROVED 2006-04-11
  • OR RA
    APPROVED
    Since 2011-01-03
  • CA RA
    APPROVED
    Since 2006-04-11

Branch Locations

5200 Meadows Rd Suite 150, Lake Oswego, OR 97035 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aegis Financial Advisory San Jose CA 01/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-10
  • S65 Uniform Investment Adviser Law Examination
    2004-04-10
Designations

View on SEC IAPD

Other Firms

PANORAMIC CAPITAL PARTNERS LLC
NORTHMARQ FUND MANAGEMENT, LLC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RBC CAPITAL MARKETS, LLC
CWM, LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
PACIFIC RIDGE CAPITAL PARTNERS, LLC

Other Investors

Grace Buchanan
ANDREW GEORGE ROUNSAVELLE CARTER
LISA M CASELLI
Nicholas Jacob Hubert
Catherine A Groff
MARCUS CHRISTIAN PARKER
JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR

More in Lake Oswego, OR

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