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 Matthews is a registered investment advisor representative with Morgan Stanley. Joseph has been in the securities industry since August 1988. Joseph is licensed to provide investment advice and securities services in multiple states. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Salomon Smith Barney Inc., and Paine Webber Incorporated. Joseph Matthews is an active member of the securities industry with experience in multiple areas of financial services.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
03/13/2012 - Present
Morgan Stanley (Fairfield CT)
CT
11/13/2001 - 01/31/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTPORT CT)
NY
10/09/1996 - 11/08/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
08/23/1988 - 10/03/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 08/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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