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Detailed Report
JOSEPH ANDREW AZPEITIA
JOSEPH AZPEITIA, JOSEPH ANDREW MENDOZA
CRD#: 6166258
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - Present (9 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2014 (<1 year)
Disclosure(s)
View By:
9/1/2015
Financial
Final
8/1/2015
Financial
Final
License(s)

State Registrations

B
Arizona 2/11/2020
B
Tennessee 3/10/2022
IA
California 10/20/2015
IA
Texas 7/8/2016
B
California 10/21/2015
B
Texas 5/26/2022
B
Colorado 1/21/2025

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/20/2015
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/20/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/28/2015 - 08/10/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
B
 03/05/2015 - 08/10/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
B
 04/22/2013 - 02/20/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.