Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joe? Claim Your ProfileJoe L Bain is a financial advisor with over 15 years of experience in the industry. Joe is currently registered with Raymond James & Associates, Inc. and has been with the firm since September 2015. Prior to that, Joe worked at WELLS FARGO ADVISORS, LLC from January 2011 to October 2015. Joe holds FINRA Series 66, 10, 9, 7, and SIE licenses and is registered in the state of Colorado. Joe specializes in providing financial planning, portfolio management, and investment advisory services to a wide range of clients, including individuals, businesses, and institutional investors.
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.
Please see note in schedule d - miscellaneous
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.
1
2
CO
09/29/2015 - Present
Raymond James & Associates, Inc. (DENVER CO)
CO
01/03/2011 - 10/01/2015
WELLS FARGO ADVISORS, LLC (DENVER CO)
CO
08/19/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (DENVER CO)
BOTH
Issued 10/10/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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