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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Albert Garrity is an investment advisor representative with Wells Fargo Clearing Services, LLC. Joseph has been in the industry since February 1992 and holds Series 6, 7, 9, 10, 31, 63, and 65 licenses. Joseph is registered in several states, including Maine, South Carolina, Texas and other states. Joseph has also worked for several firms before joining Wells Fargo Clearing Services, LLC, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Affiliated Securities, and PRUCO Securities Corporation. Joseph has experience providing investment consulting services to institutional clients.
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
SC
11/05/2024 - Present
Wells Fargo Clearing Services, LLC (PAWLEYS ISLAND SC)
SC
05/10/1995 - 10/29/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MYRTLE BEACH SC)
CA
04/04/1994 - 07/20/1994
FIRST AFFILIATED SECURITIES (LA JOLLA CA)
NJ
08/31/1990 - 07/23/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/31/1990 - 07/23/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 06/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/29/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 05/09/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/30/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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