Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Naiman is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph is also an investment advisor representative. Joseph has been in the industry since October 2009 and has been with Merrill Lynch since April 2012. Joseph holds a Series 66 license from the Uniform Combined State Law Examination which was taken in October 2009. In addition to this Joseph has the Series 7 and SIE licenses. Joseph has been approved to operate in 32 states. The states where Joseph is licensed to conduct business include Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Massachusetts, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Washington, Wisconsin and Wyoming. Joseph is licensed to act as an investment advisor in both California and Texas. Prior to joining Merrill Lynch, Joseph was employed with Northwestern Mutual Investment Services, LLC and New England Securities.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
05/01/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
09/29/2011 - 04/10/2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WOODLAND HLS CA)
CA
09/10/2009 - 09/08/2010
NEW ENGLAND SECURITIES (WOODLAND HILLS CA)
BOTH
Issued 10/19/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joseph Naiman is the right advisor for you? Invested Better is here to help.
