Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Griffo is a registered representative at Wells Fargo Securities, LLC. Joseph has been in the industry since September 7, 2005. He is licensed to sell securities in North Carolina. Joseph has a wide range of experience, including working at TIAA-CREF Individual & Institutional Services, LLC, Roth Capital Partners, LLC, UNX, INC., and Robertson Stephens, INC. Joseph is committed to providing his clients with the highest level of service and expertise.
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.
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.
1
2
NC
09/20/2018 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
04/21/2006 - 10/06/2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
CA
02/04/2004 - 08/31/2004
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
CA
11/20/2002 - 04/07/2003
UNX, INC. (BURBANK CA)
CA
04/03/2000 - 11/12/2001
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
BC
Issued 03/27/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/31/2000
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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