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Sandy, OR • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-12-07 |
| OR | RA | APPROVED | 2019-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Command Financial Services | Fort Worth | TX | 06/2015 | 02/2019 |
| Bautista Planning And Analytics, Llc | Sandy | OR | 06/2016 | Present |
Joseph Bautista provides individuals with self-development coaching and promotes his published self development book, newsletter, and course. Joseph Bautista will not promote or recommend these outside products or business activities unless they are in the best interest of the client and only after full disclosure has been made to the client as to the separate and additional fees for those products or services related to the outside business activities. This activity accounts for up to 25% of his time. Joseph Bautista also provides businesses with business development services. Joseph Bautista will not promote or recommend these outside products or business activities unless they are in the best interest of the client and only after full disclosure has been made to the client as to the separate and additional fees for those products or services related to the outside business activities. This activity accounts for up to 25% of his time.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-07 |
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