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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 Charles Serrato is a financial advisor who has been in the industry since August 20, 2000. Joseph is currently registered with Morgan Stanley and is licensed in Florida and Texas. Joseph has a long history of experience in the industry, having previously worked at Citigroup Global Markets Inc. and National Securities Corporation. Joseph is a Series 7, 63, 65, and SIE licensed professional and has a proven track record of success in helping clients achieve their financial goals. Joseph has worked with a diverse range of clients, including individuals, families, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/08/2020 - Present
Morgan Stanley (Destin FL)
FL
09/19/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PENSACOLA FL)
FL
06/18/1996 - 07/16/1998
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
IA
Issued 05/14/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2002
Series 7 - General Securities Representative Examination
BC
Issued 07/20/1994
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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