Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Rubio is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Jose has been in the financial services industry since 2010. He is a registered representative in California and Texas. Prior to joining Wells Fargo, Jose was employed at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Jose has passed the Series 6, 7, 63, and 65 exams. His certifications demonstrate that he possesses the knowledge and experience to advise clients on a wide range of financial products and services.
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.
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.
Investment consulting services to institutional clients
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
03/27/2024 - Present
Wells Fargo Clearing Services, LLC (SAN LUIS OBISPO CA)
CA
08/08/2019 - 02/28/2024
J.P. MORGAN SECURITIES LLC (OXNARD CA)
CA
02/13/2014 - 07/22/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORT HUENEME CA)
CA
10/01/2012 - 02/05/2014
J.P. MORGAN SECURITIES LLC (OXNARD CA)
CA
03/29/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (VENTURA CA)
IA
Issued 02/03/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/26/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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