Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Nichols is a financial advisor at Charles Schwab & CO., Inc. Joseph has been in the financial services industry since May 2, 1999 and has held registrations with several firms, including Loop Capital Markets LLC, UBS Financial Services Inc., Liberty Funds Distributor, Inc. and Signator Investors, Inc. Joseph is registered with the state of Illinois as an Investment Advisor Representative. Joseph is also registered with FINRA as a Registered Representative. Joseph is a Series 6, 7, 9, 10, 63, and 66 licensed professional. Joseph has worked at Charles Schwab & CO., Inc. since April 2014.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IL
06/03/2014 - Present
Charles Schwab & CO., Inc. (Chicago IL)
IL
08/04/2008 - 08/01/2013
LOOP CAPITAL MARKETS LLC (CHICAGO IL)
IL
02/18/2000 - 08/08/2008
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
MA
05/12/1999 - 12/31/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
05/29/1998 - 04/15/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
BOTH
Issued 06/02/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/22/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/28/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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