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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 Patrick Drier is a financial advisor at UBS Financial Services Inc. Joseph has over 30 years of experience in the financial services industry. Joseph has a Series 7, Series 31 and Series 63 licenses, as well as the SIE exam and the Series 65 exam. Joseph has held previous positions at CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL SECURITIES INCORPORATED, DEAN WITTER REYNOLDS INC. and HAWTHORNE SECURITIES CORPORATION. Joseph is a member of the Board of Trustees of Signature Healthcare in Brockton, MA and the Chairman of the Brockton Hospital Foundation.
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.
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.
See schedule d - miscellaneous
1
2
MA
08/11/2008 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
10/22/1999 - 12/06/2007
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
12/13/1996 - 10/21/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/18/1992 - 12/23/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
VA
07/19/1991 - 02/25/1992
HAWTHORNE SECURITIES CORPORATION (GLEN ALLEN VA)
IA
Issued 09/13/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/18/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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