Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph McFaddin is a financial professional with over 20 years of experience in the industry. Joseph is currently registered with Tiaa-Cref Individual & Institutional Services, LLC in Charlotte, NC. Prior to this, Joseph was registered with LPL FINANCIAL LLC, UBS FINANCIAL SERVICES INC., BANC OF AMERICA INVESTMENT SERVICES, INC., E*TRADE SECURITIES LLC, HARRISDIRECT LLC, and PFPC DISTRIBUTORS, INC. Joseph holds Series 4, 6, 7, 24, 53, and 66 licenses. Joseph is also registered as an Investment Advisor Representative (IAR) in North Carolina. Joseph provides financial planning and portfolio management for individuals and businesses.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
NC
11/19/2014 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
NC
08/19/2011 - 11/14/2014
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
05/15/2009 - 09/01/2011
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
08/07/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
09/22/2006 - 07/11/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
NC
06/07/2004 - 09/22/2006
HARRISDIRECT LLC (CHARLOTTE NC)
ME
07/05/2001 - 03/26/2004
PFPC DISTRIBUTORS, INC. (PORTLAND ME)
BOTH
Issued 07/10/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/28/2007
Series 4 - Registered Options Principal Examination
BC
Issued 02/15/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2004
Series 7 - General Securities Representative Examination
BC
Issued 07/03/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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