Stephen Joseph has been an investment adviser representative at Transce3nd since October 2022, and is not listed among the firm’s executive officers or direct owners.
Transce3nd LLC is a Buda, TX firm with $419M under management, 1,620 clients and 42 advisers across 17 offices, as of its May 2026 filing.
Stephen Joseph’s longest registration is the current one, 4 years at Transce3nd since 2022. Before joining Transce3nd in 2022, Stephen Joseph was registered through Ae Wealth Management, LLC and Kalos Management.
- Ae Wealth Management, LLC– · under a yearKirkwood, MO · Adviser representative · Firm CRD 282580
- Kalos Management– · 1 yearSt. Louis, MO · Adviser representative · Firm CRD 133025
Investment adviser representative registrations
Stephen Joseph is registered as an investment adviser representative in 2 states. Each was approved in October 2022.
- MissouriSince 24 October 2022
- TexasSince 17 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 January 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 August 2015 |
| Series 7 | General Securities Representative Examination | 5 March 2015 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen C Joseph
- CRD
- 6283664
- Firm
- Transce3nd · CRD 317745
- Office
- 906 S KIRKWOOD ROAD, Kirkwood, MO 63122
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2015
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Stephen Joseph work?
Stephen Joseph is an investment adviser representative registered through Transce3nd LLC since October 2022, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Joseph a financial advisor?
Yes. Stephen Joseph has a current investment-adviser registration in Missouri and Texas, through Transce3nd since October 2022.
How many years of experience does Stephen Joseph have?
Stephen Joseph has 11 years in the financial industry, since March 2015, across 3 adviser firms.
What exams has Stephen Joseph passed?
Stephen Joseph has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 6TO. The earliest, the Series 7, was passed in March 2015. FINRA credited Stephen Joseph with the SIE, which began in October 2018.
Where did Stephen Joseph work before Transce3nd?
Before Transce3nd, Stephen Joseph was registered through Kalos Management, February 2021 to August 2022.
Where is Stephen Joseph based?
Stephen Joseph’s registered office is in Kirkwood, MO.
Is Stephen Joseph registered with FINRA?
Yes. Stephen Joseph has a current broker registration, under CRD 6283664.
Source: FINRA BrokerCheck
How can I verify Stephen Joseph’s record?
Search CRD 6283664 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Joseph’s full registration record.
