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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dick? Claim Your ProfileDick Sun Joe is a financial advisor with over 30 years of experience in the industry. Dick has been registered with Morgan Stanley since June 2009 and is also registered as an investment advisor representative in Texas. Dick previously worked for CITIGROUP GLOBAL MARKETS INC. from July 1993 to June 2009, Lehman Brothers Inc. from February 1988 to July 1993, and E.F. Hutton & Company Inc. from April 1974 to February 1988. Dick is a highly experienced financial advisor with a proven track record of success in the industry.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/11/2020 - Present
Morgan Stanley (Irvine CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ORANGE CA)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/04/1974 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
07/02/1973 - 09/05/1975
DUPONT WALSTON, INCORPORATED
NA
07/02/1970 - 07/02/1973
DUPONT GLORE FORGAN INCORPORATED
IA
Issued 06/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/01/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 08/12/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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