Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Floyd is a financial advisor with over 30 years of experience in the financial services industry. Joseph currently works with Northwestern Mutual Investment Services, LLC and is located in Lexington, Kentucky. He holds the Series 7, 6, and 66 licenses, and is registered in 10 states. Joseph’s previous experience includes working for Robert W. Baird & Co. Incorporated. Joseph is dedicated to providing personalized financial advice and investment strategies to help clients achieve their financial goals.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
KY
09/20/1993 - Present
Northwestern Mutual Investment Services, LLC (LEXINGTON KY)
WI
05/02/1997 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 01/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2006
Series 7 - General Securities Representative Examination
BC
Issued 09/17/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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