Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Lavoyd Pates is a financial advisor with Ameriprise Financial Services, LLC. Joseph has been in the financial services industry for over 28 years and has a broad range of experience in providing financial planning and investment management services. Joseph holds a Series 6, 7, 63 and 65 license as well as the SIE exam. Joseph's previous experience includes positions with WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, WM FINANCIAL SERVICES, INC., GRIFFIN FINANCIAL SERVICES and FIMCO SECURITIES GROUP, INC. Joseph is currently registered in Arizona, California, Colorado, Georgia, Hawaii, Idaho, Illinois, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Texas, and Washington.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
1
2
CA
06/04/2012 - Present
Ameriprise Financial Services, LLC (PASADENA CA)
CA
03/18/2010 - 06/01/2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (PASADENA CA)
CA
05/29/2007 - 04/15/2010
CITIGROUP GLOBAL MARKETS INC. (PASADENA CA)
CA
04/07/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (PASADENA CA)
CA
01/01/1999 - 04/11/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
03/03/1998 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
WI
11/22/1993 - 03/07/1998
FIMCO SECURITIES GROUP, INC. (PORT WASHINGTON WI)
IA
Issued 01/06/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/19/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Joseph Pates is the right advisor for you? Invested Better is here to help.
