Joseph Batcha III has been Principal/ Chief Compliance Officer of Optimal Capital Advisors since April 2006, is a control person of the firm and directly owns between 50% and 75% of it.
Optimal Capital Advisors, LLC is a Traverse City, MI firm with $120M under management, 131 clients and 2 advisers in one office, as of its March 2026 filing.
Joseph Batcha III’s longest registration is the current one, 16 years at Optimal Capital Advisors since 2010. Before joining Optimal Capital Advisors in 2010, Joseph Batcha III was registered through Wislar Wealth Management, LLC and Usf Advisors, LLC.
- – present · 16 yearsTraverse City, MI · Adviser representative · Firm CRD 144719
- Wislar Wealth Management, LLC– · 3 yearsHopewell, NJ · Adviser representative · Firm CRD 144289
- Usf Advisors, LLC– · 1 yearHouston, TX · Adviser representative · Firm CRD 130569
- Morgan Stanley– · 3 yearsTraverse City, MI · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Joseph Batcha III is registered as an investment adviser representative in Michigan, since September 2010.
- MichiganSince 16 September 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 April 2003 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 12 October 1988 |
| Series 3 | National Commodity Futures Examination | 4 May 1987 |
| Series 7 | General Securities Representative Examination | 15 September 1984 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 1984 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Joseph Patrick Batcha III
- CRD
- 1286067
- Firm
- Optimal Capital Advisors · CRD 144719
- Role
- Principal/ Chief Compliance Officer
- Office
- 12935 SW BAYSHORE DR, SUITE 305, Traverse City, MI 49684
- Registration
- Investment adviser registration
- In the industry since
- February 2004
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Batcha III work?
Joseph Batcha III has been Principal/ Chief Compliance Officer of Optimal Capital Advisors, LLC since April 2006, and is a control person of the firm.
Is Joseph Batcha III a financial advisor?
Yes. Joseph Batcha III has a current investment-adviser registration in Michigan, through Optimal Capital Advisors since September 2010.
How many years of experience does Joseph Batcha III have?
Joseph Batcha III has 22 years in the financial industry, since February 2004, across 4 adviser firms.
What exams has Joseph Batcha III passed?
Joseph Batcha III has passed 5 licensing exams: the Series 63, Series 7, Series 3, Series 8 and Series 65. The earliest, the Series 63, was passed in August 1984.
Where did Joseph Batcha III work before Optimal Capital Advisors?
Before Optimal Capital Advisors, Joseph Batcha III was registered through Usf Advisors, LLC, March 2006 to January 2008; Morgan Stanley, December 2002 to March 2006.
Where is Joseph Batcha III based?
Joseph Batcha III’s registered office is in Traverse City, MI.
Is Joseph Batcha III registered with FINRA?
No. Joseph Batcha III has no current broker registration.
How can I verify Joseph Batcha III’s record?
Search CRD 1286067 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Batcha III’s full registration record.