Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Baumgarten is a registered representative with Fidelity Brokerage Services LLC. He is a Series 7, Series 9, Series 10, and Series 66 licensed professional with over 15 years of experience in the financial services industry. Joseph was previously registered with Waddell & Reed, Inc. Joseph has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice and guidance.
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.
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.
1
2
UT
06/04/2007 - Present
Fidelity Brokerage Services LLC (SALT LAKE CITY UT)
UT
02/15/2007 - 04/18/2007
WADDELL & REED, INC. (SALT LAKE CITY UT)
BOTH
Issued 03/09/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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