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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 Walters is a financial advisor with Raymond James Financial Services Advisors, Inc. Joseph has been in the financial services industry since 2001. Joseph is licensed to provide advisory services in 30 states and has a Series 7, 9, 10, 66, and SIE licenses. Joseph is a Certified Financial Planner and has been registered with Raymond James since June 2017. Prior to joining Raymond James, Joseph worked at Wells Fargo Advisors, LLC and Morgan Stanley. Joseph has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
09/19/2018 - Present
Raymond James Financial Services Advisors, Inc. (SACRAMENTO CA)
CA
10/24/2011 - 06/09/2017
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
CA
06/01/2009 - 11/07/2011
MORGAN STANLEY SMITH BARNEY (SACRAMENTO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SACRAMENTO CA)
CA
10/17/2001 - 04/02/2007
MORGAN STANLEY DW INC. (AUBURN CA)
BOTH
Issued 11/19/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/05/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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