Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Edwin Rosario has been in the financial services industry since 1997. Joseph is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. The firm has been in business for over a century and manages assets for individual, business, and institutional clients. Joseph provides financial advice and portfolio management for individuals and businesses. Joseph is also a registered investment advisor in New Jersey, New York, and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
02/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PARAMUS NJ)
NJ
03/12/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SUMMIT NJ)
NJ
02/02/2005 - 03/13/2007
CITIGROUP GLOBAL MARKETS INC. (NEW BRUNSWICK NJ)
NY
07/12/2000 - 01/25/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NE
11/24/1997 - 03/30/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MN
07/29/1997 - 12/03/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/29/1997 - 12/03/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
01/09/1997 - 09/09/1997
MEYERS POLLOCK ROBBINS, INC. (NEW YORK NY)
NY
09/27/1996 - 01/08/1997
VTR CAPITAL, INC. (NEW YORK NY)
IA
Issued 09/25/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/13/2007
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 07/01/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2003
Series 3 - National Commodity Futures Examination
BC
Issued 09/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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