linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Anthony Joe

Merrill Lynch, Pierce, Fenner & Smith Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Anthony? Claim Your Profile

About Anthony Joe

Anthony Joe is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Anthony is a registered representative with 27 years in the industry. Anthony is licensed to offer investment advisory services in several states, including New York, Connecticut, and Texas. Anthony has a Series 7, Series 24, Series 63, and Series 66 license and has experience with many investment products.

Firm Information

Anthony Joe is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Anthony Joe’s Registration & Firm History

NY

03/15/2018 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)

NY

03/24/2016 - 07/14/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MELVILLE NY)

NY

04/17/2013 - 04/19/2016

LAIDLAW & COMPANY (UK) LTD. (MELVILLE NY)

NY

04/09/2008 - 05/20/2013

OBSIDIAN FINANCIAL GROUP, LLC (WOODBURY NY)

NY

12/21/2001 - 04/29/2008

EKN FINANCIAL SERVICES INC. (WOODBURY NY)

NY

10/22/2001 - 12/21/2001

EHRENKRANTZ KING NUSSBAUM (NEW YORK NY)

NY

09/29/1999 - 10/22/2001

WEATHERLY SECURITIES CORPORATION (NEW YORK NY)

NY

11/17/1998 - 10/19/1999

TASIN & COMPANY, INC. (HAUPPAUGE NY)

NY

01/13/1998 - 10/29/1998

THE MINNEAPOLIS COMPANY, INC. (MELVILLE NY)

NA

01/07/1998 - 10/29/1998

THE MINNEAPOLIS COMPANY, INC.

CA

09/20/1997 - 12/31/1997

LA JOLLA CAPITAL CORPORATION (SAN DIEGO CA)

NY

08/13/1997 - 09/11/1997

ALEX MOORE & COMPANY, INC. (MELVILLE NY)

NY

07/17/1997 - 08/12/1997

MAIDSTONE FINANCIAL, INC. (NEW YORK NY)

NY

02/03/1995 - 07/02/1997

H G I (JERICHO NY)

Not sure if Anthony Joe is right for you?

Licenses & Designations

BOTH

Issued 08/01/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/23/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/01/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Anthony Joe. Review regulatory record here.
Not sure if Anthony Joe is right for you?