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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 Luis Guerrero is a financial advisor with UBS Financial Services Inc. located in Palm Beach Gardens, FL. Joseph Guerrero has over 30 years of experience in the financial services industry. Joseph Guerrero is registered with the Securities and Exchange Commission (SEC) as an investment advisor representative. Joseph Guerrero is also registered with the Financial Industry Regulatory Authority (FINRA) as a general securities representative. Joseph Guerrero holds the Series 3, Series 7, Series 63, and Series 65 licenses. Joseph Guerrero has previously been employed by Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., CitiCorp Investment Services, NationsSecurities, Great Western Financial Securities Corporation, FundTrust Investment Company Services, Inc., and Dean Witter Reynolds 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
FL
03/10/2015 - Present
UBS Financial Services Inc. (PALM BEACH GARDENS FL)
FL
06/01/2009 - 03/23/2015
MORGAN STANLEY (Palm Beach Gardens FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM BEACH FL)
FL
05/03/1999 - 04/02/2007
MORGAN STANLEY DW INC. (PALM BEACH FL)
NY
08/18/1995 - 05/12/1999
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
08/16/1993 - 07/12/1995
NATIONSSECURITIES
CA
09/17/1990 - 06/28/1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
09/17/1990 - 03/05/1992
FUNDTRUST INVESTMENT COMPANY SERVICES, INC.
NY
02/25/1987 - 08/03/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/26/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/10/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2009
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1987
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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