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 Trocchio is an investment advisor representative at UBS Financial Services Inc. with over 20 years of experience in the industry. Joseph has a strong background in the securities and investment industry, having previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential Securities Incorporated. Joseph holds Series 7, 31, 63, and 65 licenses, as well as the SIE exam. Joseph is registered with the Securities and Exchange Commission (SEC) and FINRA. Joseph provides a variety of financial services to individuals, families, and businesses, including investment management, financial planning, and retirement planning. Joseph is committed to helping clients achieve their financial goals.
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
OH
01/27/2025 - Present
UBS Financial Services Inc. (Columbus OH)
OH
08/18/2000 - 11/19/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBUS OH)
NY
01/30/1998 - 08/25/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/1998
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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