Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Dominic De falco is a financial advisor with over 20 years of experience in the financial services industry. Joseph is currently registered with Wells Fargo Clearing Services, LLC and has been associated with the firm since March 2020. Prior to this, Joseph was affiliated with Ameriprise Financial Services, LLC. Joseph holds the Series 7, Series 10, Series 9, Series 24, Series 31, and Series 66 licenses, as well as the SIE exam. He is also registered to provide investment advice in 22 states. Joseph specializes in providing financial planning, portfolio management, and investment consulting services to both individual and institutional clients.
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.
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.
Investment consulting services to institutional clients
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
03/14/2020 - Present
Wells Fargo Clearing Services, LLC (CARLSBAD CA)
CA
07/09/2009 - 03/18/2020
AMERIPRISE FINANCIAL SERVICES, LLC (SAN DIEGO CA)
CA
11/02/2001 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SAN DIEGO CA)
CA
08/01/2000 - 08/16/2001
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
CA
10/19/1999 - 08/01/2000
PROVIDENTIAL SECURITIES, INC. (FOUNTAIN VALLEY CA)
NJ
08/02/1999 - 09/07/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 08/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2009
Series 24 - General Securities Principal Examination
BC
Issued 04/12/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/21/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/20/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joseph De falco is the right advisor for you? Invested Better is here to help.
