Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Whatton is a financial advisor at Wells Fargo Clearing Services, LLC with over 10 years of experience in the financial services industry. Joseph holds Series 7, 9, 10, 24, 66, 87 and SIE licenses and is registered in Arkansas, Illinois, Kansas, Massachusetts, Missouri and Utah. Joseph has previously worked for AEGIS CAPITAL CORP. and BertheL, Fisher & Company Financial Services, Inc. Joseph specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for individuals and businesses.
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
MO
02/04/2021 - Present
Wells Fargo Clearing Services, LLC (FRONTENAC MO)
MO
10/15/2020 - 12/01/2020
AEGIS CAPITAL CORP. (CLAYTON MO)
MO
03/05/2012 - 10/26/2020
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MO
03/07/2011 - 02/24/2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (ST LOUIS MO)
MO
11/05/2009 - 02/28/2011
SECURIAN FINANCIAL SERVICES, INC. (ST. LOUIS MO)
BOTH
Issued 11/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/11/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/22/2016
Series 24 - General Securities Principal Examination
BC
Issued 08/24/2023
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2009
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
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