Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Eric Oertel is a financial professional with over 28 years of experience in the industry. Joseph is currently registered with Nomura Securities International, Inc. and is located in New York, NY. Joseph has previously held positions at UBS Financial Services Inc., UBS Securities LLC, Cantor Fitzgerald Partners, Cantor Fitzgerald Securities and Whale Securities Co., L.P.. Joseph's primary area of focus is research-related services and holds Series 3, 4, 7, 24, 55, 57TO, 63 and SIE licenses.
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.
Research-related 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.
Negotiated fees for research-related services
1
2
NY
09/26/2016 - Present
Nomura Securities International, Inc. (NEW YORK NY)
NJ
08/11/2015 - 06/28/2016
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CT
06/28/2000 - 06/28/2016
UBS SECURITIES LLC (STAMFORD CT)
NY
12/05/1996 - 01/28/2000
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
11/09/1995 - 01/27/2000
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
03/24/1995 - 07/19/1995
WHALE SECURITIES CO., L.P. (NEW YORK NY)
NY
12/08/1994 - 03/15/1995
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NJ
08/05/1994 - 12/22/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/19/1994 - 07/12/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/20/1993 - 04/25/1994
D. H. BLAIR & CO., INC. (NEW YORK NY)
BC
Issued 01/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2023
Series 4 - Registered Options Principal Examination
BC
Issued 11/21/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/19/2024
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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