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Joseph Tocchini

American Independent Securities Group, LLC
29 Years of Experience
Greenwood Village, CO
BrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Tocchini is a registered investment advisor at American Independent Securities Group, LLC, based in Greenwood Village, CO, with 29 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 4,385 clients with $990M in assets under management.

American Independent Securities Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
47 advisors
Number of Clients
4,385 clients
Average Client Portfolio
$225K average
Assets Under Management
$986.3M

Fee Structure

Minimum Investment:$2.5K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual fees generally range from 0.75% to 2.5% based on total assets, investment style, and program platform. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6455 S Yosemite Street Suite 715, Greenwood Village, CO, 80111

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Joseph is the owner and president of Capstone Financial Services, LLC, dedicating a few hours per week. He also sells life, health, and accident insurance and owns CFS Tax Group, LLC, spending a few hours per week on tax preparation and accounting. Joseph is also a member of 5 LLCs for Tocchini Family Limited Partnership, spending minimal time on this activity.

Employment History
Current Registrations
American Independent Securities Group, LLC
January 2012 - Present · 14 yrs 9 mos
American Independent Securities Group, LLCBroker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
AXA Advisors, LLC
July 2010 - February 2012 · 1 yr 7 mos
AXA Advisors, LLCBroker
July 2010 - February 2012 · 1 yr 7 mos
Next Financial Group, INC.Broker
January 2008 - July 2010 · 2 yrs 6 mos
Next Financial Group, INC.
January 2008 - July 2010 · 2 yrs 6 mos
Securian Financial Services, INC.
October 2007 - January 2008 · 3 mos
Marathon Advisors, INC
March 1998 - January 2008 · 9 yrs 10 mos
Securian Financial Services, INC.Broker
July 1997 - January 2008 · 10 yrs 6 mos
Cri Securities, LLCBroker
July 1997 - January 2008 · 10 yrs 6 mos
State Registrations19 states
AKAZCACOFLGAIAKSLAMNMTNCNEOHORSDTXVTWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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