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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 Ulloa is a financial advisor at Wells Fargo Clearing Services, LLC in LA JOLLA, CA. Joseph has been in the financial services industry since 1969 and has a wide range of experience in the industry, including working for companies such as Morgan Stanley, Wachovia Securities, and Lehman Brothers. Joseph is also a registered representative and investment advisor in California and several other states. He is a dedicated professional and has a strong understanding of the financial markets. Joseph offers various investment consulting services and has been providing clients with personalized financial advice for over 50 years.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
10/06/2008 - Present
Wells Fargo Clearing Services, LLC (LA JOLLA CA)
CA
04/02/2007 - 10/08/2008
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
04/02/2004 - 04/02/2007
MORGAN STANLEY DW INC. (SAN DIEGO CA)
MO
02/14/2000 - 04/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/31/1993 - 02/16/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/08/1979 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
01/19/1977 - 09/11/1979
BEAR, STEARNS & CO.
NA
12/16/1969 - 02/17/1977
E. F. HUTTON & COMPANY INC
BC
Issued 09/05/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/28/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/20/1988
Series 24 - General Securities Principal Examination
BC
Issued 03/10/1981
Series 4 - Registered Options Principal Examination
BC
Issued 10/25/1973
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1991
Series 15 - Foreign Currency Options Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/12/1969
Series 000 - General Securities Principal Examination
BC
Issued 12/12/1969
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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