Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Rockwell is a registered representative with smbc Nikko Securities America, Inc. Joseph has been in the securities industry since July 26, 2018. Joseph is licensed in 51 states, as well as the District of Columbia, and is Series 7, 63, SIE and 79TO qualified. Joseph's most recent registration was on December 21, 2023.
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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2
NY
11/16/2023 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
09/03/2010 - 12/23/2015
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
BC
Issued 12/21/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/26/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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