Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Harris Roth is a financial advisor at Eagle Point Securities LLC. Joseph has been in the financial services industry since 2010. Joseph is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 99TO, 79, 63, and 24 licenses. Joseph is also registered with the state securities regulators in 53 states.
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.
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CT
12/22/2023 - Present
Eagle Point Securities LLC (Greenwich CT)
NY
06/09/2010 - 05/20/2011
CITADEL SECURITIES LLC (NEW YORK NY)
BC
Issued 07/29/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/21/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/22/2023
Series 99TO - Operations Professional Examination
BC
Issued 06/24/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/03/2023
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2010
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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