Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Patrick Sergio is a financial professional with over 25 years of experience in the securities industry. Joseph is currently registered with Maxim Group LLC in Woodbury, NY. Previously, Joseph has been registered with Investec Ernst & Company and Royce Investment Group, Inc. Joseph holds Series 7, Series 63, and SIE licenses.
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
09/25/2002 - Present
Maxim Group LLC (WOODBURY NY)
NY
10/29/1999 - 10/28/2002
INVESTEC ERNST & COMPANY (NEW YORK NY)
NY
12/11/1996 - 10/29/1999
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
BC
Issued 02/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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