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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 Hertig is an investment advisor representative at UBS Financial Services Inc. Joseph Hertig is registered with FINRA and has been in the industry since May 1997. Joseph Hertig is licensed to provide investment advice in Colorado, Montana, Oklahoma, and Texas. Joseph Hertig has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.
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.
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.
See schedule d - miscellaneous
1
2
MT
10/14/2021 - Present
UBS Financial Services Inc. (MISSOULA MT)
MT
06/25/2010 - 10/20/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MISSOULA MT)
CO
06/01/2009 - 07/13/2010
MORGAN STANLEY SMITH BARNEY (DENVER CO)
CO
12/04/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DENVER CO)
NY
05/16/1997 - 12/07/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2005
Series 3 - National Commodity Futures Examination
BC
Issued 05/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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