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 Sclafani is an active broker registered with UBS Securities LLC. Joseph has been working in the securities industry since October 4, 2003, and has held previous positions at UBS Financial Services Inc., Oakpoint Advisors LLC and ABN AMRO Securities LLC. Joseph has licenses including Series 4, 7, 24, 55, 57TO, 63 and 79TO and is registered with FINRA and 52 state securities regulators.
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.
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.
1
2
NY
08/25/2010 - Present
UBS Securities LLC (NEW YORK NY)
NJ
08/03/2015 - 12/04/2019
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/21/2005 - 08/05/2010
OAKPOINT ADVISORS LLC (NEW YORK NY)
NY
09/30/1999 - 08/03/2001
ABN AMRO SECURITIES LLC (NEW YORK NY)
BC
Issued 06/06/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2009
Series 4 - Registered Options Principal Examination
BC
Issued 01/13/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/20/2005
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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