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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joel? Claim Your ProfileJoel Andrew Estes is a financial advisor with Raymond James & Associates, Inc. Joel Estes has been working in the financial services industry since December 18, 1989. His current registrations include Series 7, Series 9, Series 10, and Series 63. He is registered in Arizona, Arkansas, California, Colorado, Illinois, New York, Ohio, Oklahoma, Oregon, South Carolina, Texas, and Virginia. Joel Estes has previously worked at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joel Estes provides financial planning, portfolio management, and educational seminars.
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.
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2
AZ
11/01/2018 - Present
Raymond James & Associates, Inc. (TUCSON AZ)
AZ
10/26/2007 - 11/05/2018
WELLS FARGO CLEARING SERVICES, LLC (TUCSON AZ)
AZ
12/19/1989 - 10/30/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TUCSON AZ)
BC
Issued 02/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/20/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1989
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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