Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Falcone is a financial advisor associated with LPL Financial LLC. Joseph has been in the financial services industry since January 21, 2000. Joseph has passed the Series 7, Series 63, and Series 66 exams. Joseph also holds a SIE exam. Prior to joining LPL Financial, Joseph was associated with Waddell & Reed, Janney Montgomery Scott LLC, and UBS Financial Services Inc.
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.
Consulting and other non-discretionary advisory services
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
CT
02/14/2019 - Present
LPL Financial LLC (SEYMOUR CT)
CT
03/24/2011 - 01/30/2019
WADDELL & REED (HAMDEN CT)
CT
11/09/2006 - 02/16/2011
JANNEY MONTGOMERY SCOTT LLC (NEW HAVEN CT)
CT
12/07/1999 - 12/01/2006
UBS FINANCIAL SERVICES INC. (NEW HAVEN CT)
BOTH
Issued 01/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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