Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Mario Esposito is an investment advisor representative and a registered representative. He is registered with UBS Financial Services Inc. and has been in the industry since May 16, 2003. Joseph is licensed to sell securities in several states including California, Colorado, Connecticut, Florida, Illinois, Kansas, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Washington, and Wisconsin. He previously worked at J.P. Morgan Securities LLC and J.P. Morgan Securities Inc. Joseph has Series 7, Series 63, and Series 66 securities licenses and the SIE exam. He specializes in providing financial planning, portfolio management for businesses and individuals, and pension consulting services. Joseph is a director on the board of Fenwick High School and Hektoen Institute of Medicine.
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
IL
08/10/2021 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
10/01/2008 - 08/24/2015
J.P. MORGAN SECURITIES LLC (NORTHBrook IL)
IL
08/14/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (CHICAGO IL)
IL
07/01/2004 - 04/14/2008
J.P. MORGAN SECURITIES INC. (CHICAGO IL)
IL
01/15/2003 - 07/01/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
BOTH
Issued 08/24/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2003
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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