Joseph Kessel has been Chief Compliance Officer of Sepio Capital since April 2026, is not listed as a control person, but directly owns under 5% of the firm.
Sepio Capital, LP is a Salt Lake City, UT firm with $5.64B under management, 295 clients and 18 advisers across 5 offices, as of its April 2026 filing.
Joseph Kessel’s longest registration was 3 years at J.derek Lewis & Associates, Inc. (2015–2019).
- Independent Financial Partners– · 2 yearsTampa, FL · Adviser representative · Firm CRD 125112
- Familywealth Asset Management– · 1 yearHighlands Ranch, CO · Adviser representative · Firm CRD 147869
- Familywealth– · 1 yearHighlands Ranch, CO · Adviser representative · Firm CRD 289193
- J.derek Lewis & Associates, Inc.– · 3 yearsArrington, VA · Adviser representative · Firm CRD 122307
- Gradient Advisors, LLC– · 2 yearsTurku · Adviser representative · Firm CRD 152665
- Milkie/Ferguson Investments, Inc.– · 2 yearsTurku · Adviser representative · Firm CRD 17606
- Jolliffe Capital, Inc.– · under a yearBroomfield, CO · Adviser representative · Firm CRD 140725
- Afs Brokerage, Inc.– · under a yearBroomfield, CO · Adviser representative · Firm CRD 25924
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 May 2006 |
| Series 53 | Municipal Securities Principal Examination | 26 May 1999 |
| Series 4 | Registered Options Principal Examination | 6 April 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 July 1998 |
| Series 24 | General Securities Principal Examination | 7 July 1998 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Full name
- Joseph Keith Kessel
- CRD
- 3084333
- Firm
- Sepio Capital · CRD 285645
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Kessel work?
Joseph Kessel has been Chief Compliance Officer of Sepio Capital, LP since April 2026.
Does Joseph Kessel have a current investment-adviser registration?
Joseph Kessel has a current broker registration and no current investment-adviser registration.
What exams has Joseph Kessel passed?
Joseph Kessel has passed 6 licensing exams: the Series 24, Series 63, Series 4, Series 53, Series 65 and Series 14. The earliest, the Series 24, was passed in July 1998. FINRA credited Joseph Kessel with the SIE, which began in October 2018.
Where was Joseph Kessel previously registered as an investment adviser?
Joseph Kessel has past investment-adviser registrations through Independent Financial Partners, July 2020 to July 2022; Familywealth Asset Management, April 2019 to June 2020; Familywealth, March 2019 to June 2020; J.derek Lewis & Associates, Inc., March 2015 to March 2019; Gradient Advisors, LLC, November 2011 to April 2014; Milkie/Ferguson Investments, Inc., September 2008 to December 2010; Jolliffe Capital, Inc., September 2007 to January 2008; Afs Brokerage, Inc., May 2006 to December 2006, across 8 firms.
Is Joseph Kessel registered with FINRA?
Yes. Joseph Kessel has a current broker registration, under CRD 3084333.
Source: FINRA BrokerCheck
How can I verify Joseph Kessel’s record?
Search CRD 3084333 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Kessel’s full registration record.