Unclaimed
David Alan Joseph is a registered investment advisor representative with Charles Schwab & Co., Inc. David has been in the securities industry since January 25, 1994. David has also held previous positions at TD Ameritrade, Inc., Fidelity Brokerage Services LLC, UVEST Financial Services Group, Inc., Allstate Financial Services, LLC, Locust Street Securities, Inc. and Sigma Financial Corporation. David is licensed in numerous states, including Illinois, California, Texas, Florida, Georgia, and many more.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IL
01/26/2022 - Present
Charles Schwab & CO., Inc. (Northbrook IL)
IL
08/15/2017 - 05/19/2024
TD AMERITRADE, INC. (Northbrook IL)
IL
09/01/2016 - 08/02/2017
FIDELITY BROKERAGE SERVICES LLC (HIGHLAND PARK IL)
IL
03/09/2010 - 08/29/2016
TD AMERITRADE, INC. (OAK BROOK IL)
IL
07/09/2007 - 03/09/2010
UVEST FINANCIAL SERVICES GROUP, INC. (CHICAGO IL)
IL
12/03/2003 - 07/02/2007
ALLSTATE FINANCIAL SERVICES, LLC (CHICAGO IL)
IA
06/25/1998 - 12/04/2003
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
MI
01/12/1994 - 06/24/1998
SIGMA FINANCIAL CORPORATION (ANN ARBOR MI)
IA
Issued 10/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/20/1999
Series 7 - General Securities Representative Examination
BC
Issued 11/29/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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