Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Bui is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph has been in the financial services industry since 2009. Joseph has passed the Series 66, Series 7, and SIE exams. Joseph is registered with the state of California and has prior work experience at JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC, and Fidelity Charitable. Joseph currently provides investment advice to individuals, businesses, pension plans, corporations, insurance companies, and charitable organizations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
12/19/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
07/02/2015 - 07/19/2017
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
01/24/2008 - 05/01/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
BOTH
Issued 10/10/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/2017
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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