Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joel? Claim Your ProfileJoel Posligua is a financial advisor with UBS Financial Services Inc. Joel has been working in the financial services industry since 2012. Joel has a total of 10 approved SRO registrations, 1 approved FINRA registration, 4 approved state registrations, and 3 approved IA state registrations. Joel has Series 7, 9, 10, 63, and 66 licenses. Joel has experience working with corporations or other businesses, individuals other than high-net-worth, pension and profit-sharing plans, and charitable organizations. Joel also has experience working with high-net-worth individuals, insurance companies, and state or municipal government entities.
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.
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.
See schedule d - miscellaneous
1
2
NY
03/30/2022 - Present
UBS Financial Services Inc. (New York NY)
NY
10/12/2018 - 03/29/2022
MORGAN STANLEY (Garden City NY)
NJ
05/06/2014 - 10/08/2018
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
07/03/2013 - 04/29/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NY
12/07/2011 - 03/11/2013
JOHN THOMAS FINANCIAL (NEW YORK NY)
BOTH
Issued 08/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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