Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph P. Faughnan is a financial advisor at UBS Securities LLC. Joseph has over 27 years of experience in the financial industry. He is a licensed Series 7, 10, 24, 55, 57TO, and 63. Joseph has previously held roles at Credit Suisse Securities (USA) LLC, J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., Banc of America Securities LLC, Deutsche Bank Securities Inc., TD Securities (USA) Inc., Oppenheimer & Co., Inc., and Banca IMI Securities Corp. Joseph's primary office is located in New York, NY.
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.
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2
NY
09/29/2023 - Present
UBS Securities LLC (NEW YORK NY)
NY
05/11/2023 - 09/29/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
10/01/2008 - 01/15/2022
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
08/11/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/11/2005 - 08/13/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/19/2000 - 03/10/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/30/1995 - 05/08/2000
TD SECURITIES (USA) INC. (NEW YORK NY)
NY
07/26/1995 - 10/17/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
09/13/1994 - 05/25/1995
BANCA IMI SECURITIES CORP. (NEW YORK NY)
BC
Issued 09/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/14/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/11/1994
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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