Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Arthur Lloyd is an investment advisor representative associated with Principal Securities, Inc. Joseph Lloyd has been in the securities industry for 24 years. Joseph Lloyd specializes in financial planning, investment management, and educational seminars. Joseph Lloyd has a diverse background in the financial services industry, with experience at firms such as National Securities Corporation, Paulson Investment Company, Inc., GunnAllen Financial, Inc, Sterling Monroe Securities, LLC, Wachovia Securities, LLC, Raymond James Financial Services, Inc., and Manulife Wood Logan, Inc.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
03/08/2021 - Present
Principal Securities, Inc. (Raleigh NC)
NY
03/01/2012 - 05/18/2020
NATIONAL SECURITIES CORPORATION (WESTBURY NY)
NY
01/04/2010 - 02/29/2012
PAULSON INVESTMENT COMPANY, INC. (HAUPPAUGE NY)
NY
12/15/2008 - 01/13/2010
GUNNALLEN FINANCIAL, INC (HAUPPAUGE NY)
NY
02/21/2007 - 12/12/2008
STERLING MONROE SECURITIES, LLC (WOODBURY NY)
CT
11/06/2002 - 02/20/2007
WACHOVIA SECURITIES, LLC (NORWALK CT)
FL
11/15/2001 - 05/23/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CT
10/20/1998 - 08/20/2001
MANULIFE WOOD LOGAN, INC. (STAMFORD CT)
IA
Issued 08/05/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/06/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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