Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Cali is a financial professional with over 20 years of experience in the industry. He is currently registered as a registered representative and investment advisor representative with Charles Schwab & Co., Inc. Joseph has a broad range of experience, having worked for several firms including TD Waterhouse Investor Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc. He holds several licenses and designations including Series 7, 63, 65, and 66, and is a Registered Principal (Series 24). Joseph is dedicated to providing financial advice to individuals and families.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
01/03/2014 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
AZ
06/12/2007 - 05/23/2008
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
AZ
08/31/2005 - 07/10/2006
COLE CAPITAL CORPORATION (PHOENIX AZ)
CT
06/21/2004 - 08/30/2005
ING FUNDS DISTRIBUTOR, LLC (WINDSOR CT)
NE
11/07/2002 - 06/17/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
03/12/2002 - 08/28/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/20/2001 - 01/24/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
05/24/2000 - 04/11/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 8/26/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 6/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/26/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/1/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/27/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 5/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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