Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Nelson is a financial advisor at Wells Fargo Clearing Services, LLC. Joseph has over 30 years of experience in the financial services industry. Joseph is registered with the state of California and Texas. He has a Series 3, 7, 63, 65, and 66 license and has also earned the SIE. Joseph's specialties include investment consulting services to institutional clients, portfolio management for businesses and individuals, and financial planning.
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
01/03/2013 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
CA
09/29/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MENLO PARK CA)
NJ
11/06/1998 - 07/21/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MA
01/01/1998 - 11/11/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
NA
07/12/1993 - 01/01/1998
NATIONSSECURITIES
NY
03/21/1989 - 07/12/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 10/10/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/26/1990
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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