Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Nelligan is a financial advisor who has been in the industry since 1997. Joseph is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph has worked with other firms prior to Merrill Lynch, including Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joseph holds the Series 7, Series 31, and Series 66 licenses. He specializes in providing a wide range of financial services to individuals, businesses, insurance companies, charitable organizations, pension and profit-sharing plans, corporations, and state or municipal government entities.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
09/22/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Mendham NJ)
NJ
06/01/2009 - 09/25/2017
MORGAN STANLEY (LAWRENCEVILLE NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAWRENCEVILLE NJ)
NJ
09/01/2006 - 04/02/2007
MORGAN STANLEY DW INC. (LAWRENCEVILLE NJ)
NJ
11/07/1997 - 09/08/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PRINCETON NJ)
BOTH
Issued 05/16/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 11/06/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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