Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Lupo is a financial advisor with UBS Financial Services Inc. located in Weehawken, NJ. Joseph has been in the financial industry since 2001 and has a strong track record of providing financial advice to individuals and businesses. Joseph holds a Series 7, Series 63, Series 66, Series 9, Series 10, Series 24, Series 3, Series 55, Series 57, Series 79, and SIE license. Joseph has been registered with UBS Financial Services Inc. since 2017. Prior to that, Joseph worked at CREDIT SUISSE SECURITIES (USA) LLC and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. Joseph has a diverse range of experience in the financial industry and is well-equipped to provide financial advice to clients of all types.
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
NJ
08/16/2017 - Present
UBS Financial Services Inc. (Weehawken NJ)
NY
01/30/2001 - 12/31/2016
CREDIT SUISSE SECURITIES (USA) LLC (New York NY)
NJ
10/05/2000 - 05/14/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 06/27/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/25/2015
Series 4 - Registered Options Principal Examination
BC
Issued 03/03/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2004
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/04/2000
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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