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Detailed Report
Joseph Peter Traba
JOE PETER TRABA, JOSEPH TRABA
CRD#: 2749525
IA
Investment Adviser
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Broker
STRATEGY ASSET MANAGERS L.L.C.CRD#: 109939 790 E. COLORADO BLVD
SUITE 200
PASADENA, CA 91101
THE LEADERS GROUP, INC.CRD#: 37157 790 E Colorado Blvd
Suite 200
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)IASTRATEGY ASSET MANAGERS L.L.C. (CRD# 109939)2020 - Present (5 years)BTHE LEADERS GROUP, INC. (CRD# 37157)2014 - Present (11 years)BKEY WEST INVESTMENTS, LLC (CRD# 149418)2014 - 2014 (<1 year)BGIRARD SECURITIES, INC. (CRD# 18697)2011 - 2014 (2 years)BSENTINEL SECURITIES, INC. (CRD# 110942)2010 - 2011 (<1 year)BM.L. STERN & CO., LLC. (CRD# 8327)1997 - 2008 (11 years)IASTONEMARK WEALTH MANAGEMENT (CRD# 158413)2011 - 2020 (8 years)IAWESPAC ADVISORS, LLC (CRD# 148242)2010 - 2012 (1 year)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
License(s)

State Registrations

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Arizona 2/29/2024
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Hawaii 9/11/2023
B
California 4/30/2014
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New Jersey 6/29/2022
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California 2/3/2020
B
Oregon 4/18/2024
B
Colorado 8/19/2024
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Texas 2/3/2020

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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STRATEGY ASSET MANAGERS L.L.C. (CRD#:109939)
790 E. COLORADO BLVD SUITE 200, PASADENA, CA 91101
Registered with this firm since 2/3/2020
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THE LEADERS GROUP, INC. (CRD#:37157)
790 E Colorado Blvd Suite 200, Pasadena, CA 91101
Registered with this firm since 4/30/2014
Previous Registration(s)
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 09/21/2011 - 02/24/2020 STONEMARK WEALTH MANAGEMENT (CRD#:158413) PASADENA, CA
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 02/18/2014 - 04/29/2014 KEY WEST INVESTMENTS, LLC (CRD#:149418) SAN GABRIEL, CA
B
 05/17/2011 - 01/28/2014 GIRARD SECURITIES, INC. (CRD#:18697) PASADENA, CA
IA
 03/02/2010 - 01/11/2012 WESPAC ADVISORS, LLC (CRD#:148242) ORINDA, CA
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 06/03/2010 - 05/02/2011 SENTINEL SECURITIES, INC. (CRD#:110942) PASENDA, CA
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 12/10/2008 - 06/22/2009 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
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 12/10/2008 - 06/22/2009 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
IA
 05/17/2004 - 12/31/2008 M. L. STERN & CO, LLC. (CRD#:8327) BEVERLY HILLS, CA
B
 05/28/1997 - 12/31/2008 M.L. STERN & CO., LLC. (CRD#:8327) BEVERLY HILLS, CA
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.