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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Gerard Farrelly is a financial advisor who has been in the industry since 1985. Joseph Gerard Farrelly is currently registered with UBS Financial Services Inc. and has been with the firm since October 12, 2001. Prior to that, Joseph Gerard Farrelly was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated from July 24, 1985 to October 26, 2001. Joseph Gerard Farrelly holds Series 3, 7, 63, 65 and 66 licenses. Joseph Gerard Farrelly has a total of 3 state exams, 3 product exams and 0 principal exams. Joseph Gerard Farrelly is registered in North Carolina.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
NC
10/12/2001 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NY
07/24/1985 - 10/26/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/01/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1990
Series 3 - National Commodity Futures Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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