Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Michael Horwitz is a registered representative with Nomura Securities International, Inc. Joseph has been in the securities industry since August 8, 2004. Joseph has worked for several firms in the past including NOMURA GREENTECH CAPITAL ADVISORS, LLC, ROBERT W. BAIRD & CO. INCORPORATED, STANFORD GROUP COMPANY, PACIFIC GROWTH EQUITIES, LLC and BT ALEX. BROWN INCORPORATED. Joseph is licensed in California and New York and holds the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 licenses.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
CA
04/01/2020 - Present
Nomura Securities International, Inc. (SAN FRANCISCO CA)
CA
05/10/2016 - 03/31/2021
NOMURA GREENTECH CAPITAL ADVISORS, LLC (SAN FRANCISCO CA)
CA
05/01/2009 - 04/26/2016
ROBERT W. BAIRD & CO. INCORPORATED (SAN FRANCISCO CA)
CA
04/16/2008 - 03/23/2009
STANFORD GROUP COMPANY (SAN FRANCISCO CA)
CA
03/07/2005 - 04/17/2008
PACIFIC GROWTH EQUITIES, LLC (SAN FRANCISCO CA)
MD
07/02/1998 - 03/19/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
BC
Issued 03/16/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 06/08/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 04/26/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/04/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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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