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Joe Flores

Knights Of Columbus Asset Advisors LLC

New Haven, CT

Pasadena, CA

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Current Employers
Knights Of Columbus Asset Advisors Llc

One Columbus Plaza, New Haven, CT 06510 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-01-14
  • CA RA
    APPROVED
    Since 2021-01-14

Branch Locations

One Columbus Plaza, New Haven, CT 06510 • United States

650 Sierra Madre Villa Ave Suite 102, Pasadena, CA 91107 • 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
Knights Of Columbus San Diego CA 03/2008 Present
  • 03/2008 → Present
    Knights Of Columbus
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-10
S63 Uniform Securities Agent State Law Examination 2000-09-29
  • S65 Uniform Investment Adviser Law Examination
    2020-12-10
  • S63 Uniform Securities Agent State Law Examination
    2000-09-29

View on SEC IAPD

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