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William Joseph Capital Management, Inc. CRD 226535
$694M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
210 Red Stone Hill Road Suite 5, Bristol, CT 06010 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-11-19 |
Branch Locations
277 Alexander St, Suite 307, Rochester, NY 14607 • United States
210 Red Stone Hill Road Suite 5, Bristol, CT 06010 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 06/2013 | 07/2020 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 06/2013 | 07/2020 |
| American Portfolios Financial Services, Inc. | Rochester | NY | 07/2020 | 10/2024 |
| American Portfolios Advisors, Inc | Rochester | NY | 07/2020 | 10/2024 |
| Osaic Wealth, Inc. | Scottsdale | AZ | 10/2024 | 11/2025 |
| William Joseph Capital Management, Inc. | Bristol | CT | 11/2025 | Present |
1) CHARLETON FINANCIAL LLC POSITION: Insurance Agent NATURE: INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1993 ADDRESS: 277 ALEXANDER ST, STE 307, ROCHESTER NY 14607, United States DESCRIPTION: Talk to clients, figure out their insurance needs, and propose appropriate policies. 2) MICHAEL J. CHARLETON, JR POSITION: OWNER NATURE: S CORP USED FOR PAYROLL FOR STAFF INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1998 ADDRESS: 277 ALEXANDER ST, STE 307, ROCHESTER NY 14607, United States DESCRIPTION: Owner of the company.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1985-08-27 |
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