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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 Michael Guccione is a financial advisor with UBS Financial Services Inc., where Joseph Michael Guccione has been working since October 2014. Prior to that, Joseph Michael Guccione worked at MORGAN STANLEY, OPPENHEIMER & CO. INC., DEUTSCHE BANK SECURITIES INC., and BAY CREST PARTNERS, LLC. Joseph Michael Guccione is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to provide investment advisory services in Florida, Illinois, New Jersey, and New York.
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
FL
10/26/2021 - Present
UBS Financial Services Inc. (NAPLES FL)
NY
06/15/2011 - 10/01/2014
MORGAN STANLEY (NEW YORK NY)
NY
05/29/2009 - 06/08/2011
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
12/12/2007 - 02/13/2009
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
07/06/2005 - 10/10/2007
BAY CREST PARTNERS, LLC (NEW YORK NY)
IA
Issued 03/30/2013
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/16/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2012
Series 3 - National Commodity Futures Examination
BC
Issued 03/31/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/31/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/10/2005
Series 25 - NYSE Trading Assistant 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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