Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Chi is an investment advisor representative associated with Avantax Advisory Services and holds Series 65, Series 66 and Series 7 licenses. Joseph has been in the financial services industry for over 15 years and has experience with a variety of firms including Oppenheimer & Co. Inc., 1st Global Capital Corp., and BancWest Investment Services, Inc. Joseph specializes in financial planning and investment management for individuals and businesses.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
CA
10/25/2019 - Present
Avantax Advisory Services (ROSEMEAD CA)
CA
09/27/2017 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (ROSEMEAD CA)
CA
10/28/2015 - 10/16/2017
BANCWEST INVESTMENT SERVICES, INC. (MONTEREY PARK CA)
CA
08/02/2013 - 11/03/2015
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
CA
10/12/2006 - 01/03/2012
COMMONFUND SECURITIES, INC. (LOS ANGELES CA)
CA
01/19/2006 - 07/18/2006
WELLS FARGO INVESTMENTS, LLC (MONTEREY PARK CA)
IA
Issued 12/05/2014
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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