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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 Phillips is a financial advisor with Morgan Stanley. Joseph has been in the financial services industry since May 1985. He has a wide range of experience and holds several licenses and certifications, including Series 7, Series 9, Series 10, Series 31, Series 63, Series 65, and SIE. Joseph is also a Certified Financial Planner. He has worked for several firms throughout his career including Citigroup Global Markets Inc., Lehman Brothers Inc., Paine Webber Incorporated, and Morgan Stanley & Co. Incorporated. Joseph currently works in Boston, MA.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MA
11/07/2024 - Present
Morgan Stanley (Boston MA)
MA
11/14/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
MA
04/02/2007 - 11/17/2008
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
08/18/1998 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
NY
03/22/2001 - 11/26/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NJ
07/29/1994 - 08/24/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/23/1985 - 08/18/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 09/05/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/04/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/22/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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