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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph John Finley is an investment advisor representative with Fisher Investments. Joseph has been in the industry since 1995 and has experience working for various firms including State Street Capital Markets, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., and Waterhouse Securities, Inc. Joseph holds both Series 63 and Series 65 licenses, as well as Series 7 and Series 55. Joseph is currently registered with the state of California and Texas.
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.
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.
Portfolio assessment
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.
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.
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2
TX
08/11/2023 - Present
Fisher Investments (PLANO TX)
MA
09/03/1999 - 04/23/2001
STATE STREET CAPITAL MARKETS, LLC (BOSTON MA)
MA
07/12/1999 - 09/27/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/29/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
04/29/1998 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
NE
11/27/1995 - 07/15/1997
WATERHOUSE SECURITIES, INC. (OMAHA NE)
IA
Issued 11/05/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/07/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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