Joseph Traba has been an investment adviser representative at Strategy Asset Managers since February 2020, and is not listed among the firm’s executive officers or direct owners. Joseph Traba holds a Bachelor of Sciences in Quantitative Economics and Decision Sciences from the University of California at San Diego.
Strategy Asset Managers L.L.C. is a Pasadena, CA firm with $930M under management, 633 clients and 10 advisers across 3 offices, as of its June 2026 filing.
Joseph Traba is Chief Investment Officer of Strategy Asset Managers, where he is also a Managing Director and Senior Portfolio Manager. He has over 25 years of experience in portfolio management, equity/fixed income trading, research, marketing and wealth management. Before joining the firm, he was Chief Investment Officer and Portfolio Manager at Stonemark Wealth Management and 1st Vice President of Equity Trading and Research at Southwest Securities (formerly ML Stern & Co.).
Joseph Traba’s longest registration was 8 years at Stonemark Wealth Management (2011–2020). Before joining Strategy Asset Managers in 2020, Joseph Traba was registered through Stonemark Wealth Management and Wespac Advisors, LLC.
- – present · 6 yearsPasadena, CA · Adviser representative · Firm CRD 109939
- Stonemark Wealth Management– · 8 yearsPasadena, CA · Adviser representative · Firm CRD 158413
- Wespac Advisors, LLC– · 1 yearOrinda, CA · Adviser representative · Firm CRD 148242
- Southwest Securities, Inc.– · under a yearBeverly Hills, CA · Adviser representative · Firm CRD 6220
- M. L. Stern & Co, LLC.– · 4 yearsBeverly Hills, CA · Adviser representative · Firm CRD 8327
Investment adviser representative registrations
Joseph Traba is registered as an investment adviser representative in 2 states. Each was approved in February 2020.
- CaliforniaSince 3 February 2020
- TexasSince 3 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 23 July 2008 |
| Series 24 | General Securities Principal Examination | 1 December 2006 |
| Series 55 | Limited Representative-Equity Trader Exam | 28 February 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 June 1997 |
| Series 7 | General Securities Representative Examination | 27 May 1997 |
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Peter Traba
- CRD
- 2749525
- Firm
- Strategy Asset Managers · CRD 109939
- Office
- 790 E. COLORADO BLVD, SUITE 200, Pasadena, CA 91101
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- strategyassetmanagers.com
Where does Joseph Traba work?
Joseph Traba is an investment adviser representative registered through Strategy Asset Managers L.L.C. since February 2020, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Traba a financial advisor?
Yes. Joseph Traba has a current investment-adviser registration in California and Texas, through Strategy Asset Managers since February 2020.
How many years of experience does Joseph Traba have?
Joseph Traba has 28 years in the financial industry, since February 1998, across 5 adviser firms.
What exams has Joseph Traba passed?
Joseph Traba has passed 6 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 4 and Series 57TO. The earliest, the Series 7, was passed in May 1997. FINRA credited Joseph Traba with the SIE, which began in October 2018.
Where did Joseph Traba work before Strategy Asset Managers?
Before Strategy Asset Managers, Joseph Traba was registered through Wespac Advisors, LLC, March 2010 to January 2012; Southwest Securities, Inc., December 2008 to June 2009; M. L. Stern & Co, LLC., May 2004 to December 2008.
Where is Joseph Traba based?
Joseph Traba’s registered office is in Pasadena, CA.
Is Joseph Traba registered with FINRA?
Yes. Joseph Traba has a current broker registration, under CRD 2749525.
Source: FINRA BrokerCheck
How can I verify Joseph Traba’s record?
Search CRD 2749525 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Traba’s full registration record.