Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Ponce is a financial advisor with over 11 years of experience in the industry. Joseph is currently registered with LPL Financial LLC and has previously worked with WELLS FARGO CLEARING SERVICES, LLC and UMB FINANCIAL SERVICES, INC. Joseph holds a Series 6, Series 7, and Series 66 licenses and is registered in multiple states. Joseph is also a registered Investment Advisor. Joseph specializes in providing a range of financial services to individuals, businesses, and institutional clients.
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.
Consulting and other non-discretionary advisory 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.
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
AZ
09/07/2021 - Present
LPL Financial LLC (SCOTTSDALE AZ)
AZ
04/20/2017 - 09/14/2021
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
AZ
07/06/2016 - 04/17/2017
UMB FINANCIAL SERVICES, INC. (Scottsdale AZ)
AZ
12/01/2010 - 06/14/2016
WELLS FARGO ADVISORS, LLC (SCOTTSDALE AZ)
BOTH
Issued 07/30/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/09/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/30/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Joseph Ponce is the right advisor for you? Invested Better is here to help.
