Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Lynch is a financial advisor with over 10 years of experience in the industry. Joseph is registered with Capital Client Group, Inc. in California. Joseph has held previous positions with Nuveen Securities, LLC and Putnam Retail Management Limited Partnership. Joseph has passed the Series 6, 7, 63, and 65 exams.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
08/22/2022 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
IL
05/29/2020 - 07/29/2022
NUVEEN SECURITIES, LLC (CHICAGO IL)
MA
10/04/2011 - 05/26/2020
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)
MA
06/27/2011 - 10/06/2011
NYLIFE SECURITIES LLC (HYANNIS MA)
IA
Issued 12/16/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2013
Series 7 - General Securities Representative Examination
BC
Issued 06/24/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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