Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Peter Stephens is a financial advisor with Prospera Financial Services, Inc. Joseph has over 24 years of experience in the financial services industry. Joseph holds Series 6, 7, 63, 65, 99TO, and SIE licenses. He is also a Certified Financial Planner. Joseph is registered to provide investment advice and securities services in Alabama, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Indiana, Kansas, Louisiana, Maryland, Mississippi, Montana, New Mexico, New York, North Carolina, Oregon, South Carolina, Texas, and Virginia.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
LA
12/06/2021 - Present
Prospera Financial Services, Inc. (New Orleans LA)
LA
11/20/2007 - 12/03/2021
DORSEY & COMPANY, INC. (NEW ORLEANS LA)
LA
01/19/2000 - 12/13/2007
EDWARD JONES (NEW ORLEANS LA)
MA
04/29/1998 - 11/10/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/29/1998 - 11/10/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 03/05/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/28/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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