Joseph Seep
Joseph Seep is a CFP-designated registered investment advisor at Joseph Seep & Associates, LLC, based in Tempe, AZ, with 32 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning, and 1 more. Their firm serves 90 clients with $35M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
JSA offers two investment management options:
- Traditional Asset Management (TAM): You'll pay between 0.25% and 1.00% of your portfolio annually, depending on the size of your account. The larger your account, the lower the percentage. This fee covers ongoing investment advice and monitoring of your portfolio.
- Direct Asset Under Management (Direct AUM): JSA has agreements with certain investment companies like Capital Group/American Funds. Fees, typically between 0.25% and 1.00% annually, are negotiated with you when you open the account. These fees are paid directly to JSA by the investment company, not in advance, and are shown on your account statements.
Location
Tempe, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Joseph provides financial planning and advisory services through Joseph Seep & Associates LLC, dedicating about half of his time. He also sells proprietary fixed life insurance, spending a few hours per week on this activity.
Employment History
Current Registrations
Joseph Seep & Associates, LLC
Previous Registrations
J.W. Cole Financial, INC.Broker
Questar Capital CorporationBroker
Gainey Financial Services, INC.Broker
W.B. Mckee Securities, INC.Broker
Sunamerica Securities, INC.Broker
Waddell & Reed, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.