Joseph David Stock

Employer firm

Lake Street CRD 296761

$1.16B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• ERISA SECTION 3(21) CO-FIDUCIARY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 12/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 04/2013 → 12/2017
  Bank Of America, N.A.
  Chicago, IL
• 01/2018 → 06/2018
  United Advisors Services, Llc
  Chicago, IL
• 04/2018 → Present
  Lake Street Private Wealth, Llc
  Chicago, IL
• 01/2018 → 06/2018
  Fsic
  Chicago, IL
• 06/2018 → 09/2019
  Cantella & Co., Inc.
  Boston, MA
• 10/2019 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2017-12-19 → 2018-06-15
  United Advisors Services, Llc
  Chicago, IL
  Boca Raton, FL
• 2013-05-22 → 2017-12-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 2013-02-19 → 2013-03-07
  Krilogy
  St. Louis, MO

Other Businesses

1. Lake Street Private Wealth, LLC. Investment Related. 128 N. May Street, Floor 2, Chicago IL 60607. Financial Services. Managing Partner. Start 12/2017. 160 hrs/mo, 6 hrs per day during trading. Co-Founder, managing partners, financial advisor. 2. PKSF. Investment Related. 80 State St, Albany NY 12207. Insurance. Agent. Start 10/2019. 5 hours per month, 1 during trading. Marketing and sales of non securities insurance products.

Exams

• S63 Uniform Securities Agent State Law Examination
  2013-06-25
• S65 Uniform Investment Adviser Law Examination
  2012-06-01

Designations

• Certified Financial Planner

Other Names

• Joseph Stock
• Joseph D Stock