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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 Harter is an investment advisor representative with Wells Fargo Clearing Services, LLC. Joseph has been in the financial services industry since March 2014 and has experience working with individual investors and businesses. Joseph holds the Series 6, 7, 63, and 65 licenses and has completed the SIE exam. Joseph is also registered as an Investment Advisor Representative in California and Texas. Joseph offers a range of financial services including portfolio management, investment consulting, and financial planning. Joseph can assist clients in developing investment strategies, managing their portfolios, and reaching their financial goals.
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
07/29/2024 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
CA
05/12/2021 - 07/30/2024
J.P. MORGAN SECURITIES LLC (CAMARILLO CA)
CA
03/03/2014 - 05/05/2021
WELLS FARGO CLEARING SERVICES, LLC (THOUSAND OAKS CA)
IA
Issued 02/05/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/03/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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