Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph James Klauzar is a financial advisor who has been in the industry since 2002. Joseph is currently registered with Raymond James & Associates, Inc. and has previously worked with Morgan Stanley, Pacific Pearl Group, Pacific Cornerstone Capital Incorporated, AIM Distributors, Inc., Invesco Distributors, Inc., Nationwide Advisory Services, Inc., Evergreen Investment Services, Inc., and PaineWebber Incorporated.
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.
Please see note in schedule d - miscellaneous
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.
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2
CA
10/02/2023 - Present
Raymond James & Associates, Inc. (BEVERLY HILLS CA)
CA
08/08/2011 - 10/02/2018
MORGAN STANLEY (LOS ANGELES CA)
CA
01/27/2009 - 08/19/2009
PACIFIC PEARL GROUP (PASADENA CA)
CA
04/17/2006 - 07/31/2006
PACIFIC CORNERSTONE CAPITAL INCORPORATED (IRVINE CA)
TX
07/09/2003 - 04/13/2005
A I M DISTRIBUTORS, INC. (HOUSTON TX)
TX
04/05/2001 - 07/08/2003
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
OH
01/20/2000 - 04/06/2001
NATIONWIDE ADVISORY SERVICES, INC. (COLUMBUS OH)
NC
11/04/1997 - 12/22/1999
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NJ
05/29/1996 - 12/16/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 11/11/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2009
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 06/14/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2013
Series 3 - National Commodity Futures Examination
BC
Issued 05/28/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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