Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Anthony Rosio is a financial advisor at LPL Financial LLC, based in Plano, Texas. Joseph has been in the financial services industry since 1999. Joseph has also worked for Waddell & Reed, Avantax Investment Services, Sanford C. Bernstein & Co., LLC, and Jefferies & Company, Inc.. Joseph holds a Series 7, 6, 63, 65, and 24 license. Joseph provides financial planning and portfolio management for individuals and businesses, as well as consulting and other non-discretionary advisory services. Joseph is registered with the state of Texas to provide investment advisory 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.
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.
Consulting and other non-discretionary advisory services
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.
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2
TX
09/03/2020 - Present
LPL Financial LLC (PLANO TX)
TX
06/11/2020 - 09/08/2020
WADDELL & REED (PLANO TX)
TX
06/17/2016 - 06/16/2020
AVANTAX INVESTMENT SERVICES, INC. (Dallas TX)
NY
08/20/2007 - 11/03/2008
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
08/19/2002 - 03/21/2007
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NJ
07/27/1999 - 05/15/2002
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
NJ
07/26/1996 - 09/08/1997
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
NY
06/30/1993 - 07/31/1996
SPEAR, LEEDS & KELLOGG (NEW YORK NY)
IA
Issued 09/16/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/1997
Series 24 - General Securities Principal Examination
BC
Issued 06/20/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/19/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/29/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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