Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Adams Wallace is a financial advisor registered with Stifel, Nicolaus & Company, Inc. in LONGVIEW, TX. Joseph has been working in the financial services industry since September 22, 1980. Joseph is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). The advisor also holds Series 7, 8, 9, 10, 63, and 65 licenses. Joseph has been registered with Stifel, Nicolaus & Company, Inc. since October 16, 2009. Prior to that, Joseph worked at UBS FINANCIAL SERVICES INC. from August 2004 to October 2009.
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.
1
2
TX
10/16/2009 - Present
Stifel, Nicolaus & Company, Inc. (LONGVIEW TX)
TX
08/27/2004 - 10/16/2009
UBS FINANCIAL SERVICES INC. (LONGVIEW TX)
NY
07/31/1993 - 09/10/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/23/1980 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 06/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/01/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1980
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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