Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joel? Claim Your ProfileJoel Rizzo is a financial advisor with over 25 years of experience in the financial services industry. Joel currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. He is a registered representative and investment advisor representative and holds Series 7, 9, 63 and 65 licenses. Joel has worked for several prominent firms during his career, including Wells Fargo Clearing Services, LLC and UBS PaineWebber Inc. Joel is an expert in financial planning, investment management, and portfolio management for businesses and individuals. He offers a wide range of services including performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisors 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
10/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
01/03/2011 - 10/09/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
10/29/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BERKELEY CA)
NY
12/20/2002 - 11/07/2003
MONY SECURITIES CORPORATION (NEW YORK NY)
MI
03/04/2002 - 11/07/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NJ
12/17/1999 - 11/16/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
06/01/1999 - 11/17/1999
INVESTEC ERNST & COMPANY (NEW YORK NY)
NY
05/19/1998 - 06/01/1999
STUART, COLEMAN & CO., INC. (NEW YORK NY)
NY
12/04/1996 - 05/19/1998
GKN SECURITIES CORP. (NEW YORK NY)
NJ
06/24/1996 - 05/28/1997
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
NY
03/14/1995 - 05/17/1996
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
NY
04/15/1993 - 04/05/1994
OSCAR GRUSS & SON, INCORPORATED (NEW YORK NY)
NY
10/28/1992 - 04/15/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/21/1992 - 10/02/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/10/1992 - 07/08/1992
BERKELEY SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 2/17/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/28/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/8/1992
Series 7 - General Securities Representative Examination
Active
Inactive
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
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