Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Lembeck is a financial advisor with UBS Financial Services Inc. He has been in the industry since 1990 and has been registered with the state of Colorado since 2020. Joseph specializes in providing financial advice and portfolio management services to individuals, businesses, and institutions. Joseph is a highly experienced advisor and holds a variety of licenses and certifications, including the Series 7, Series 31, and Series 65 exams.
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
CO
08/21/2020 - Present
UBS Financial Services Inc. (DENVER CO)
CO
02/22/2002 - 08/25/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DENVER CO)
MO
07/10/1996 - 02/26/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NJ
08/31/1990 - 07/01/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/13/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 08/29/1990
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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