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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 William Mallery is a financial advisor with over 30 years of experience in the industry. Joel has been registered with UBS Financial Services Inc. since March 2012. Prior to joining UBS, Joel worked at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Joel has passed the Series 63, Series 65, Series 7, Series 31, and SIE exams, and holds active registrations in multiple states including Michigan, Texas, Arizona, California, Florida, Georgia, Illinois, Indiana, Iowa, Louisiana, Massachusetts, Minnesota, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, and Virginia. Joel specializes in providing financial advice to individuals, businesses, pension and profit-sharing plans, and charitable organizations.
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
MI
10/25/2021 - Present
UBS Financial Services Inc. (GRAND BLANC MI)
MI
06/01/2009 - 03/27/2012
MORGAN STANLEY SMITH BARNEY (FLINT MI)
MI
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FLINT MI)
MI
12/08/1992 - 04/02/2007
MORGAN STANLEY DW INC. (FLINT MI)
IA
Issued 02/20/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/1992
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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