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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 R Mariani is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph R Mariani has been in the industry since November 6, 2000. The advisor is licensed in 53 states and is a registered investment advisor in Connecticut and Texas. Joseph R Mariani has a broad range of licenses, including Series 3, 7, 9, 10, 31 and 66. The advisor holds a SIE license. Joseph R Mariani also has a Series 66 license, which allows them to provide investment advice to clients in multiple states. The advisor has extensive experience in the financial services industry. Joseph R Mariani has a proven track record of success in helping clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CT
10/07/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MYSTIC CT)
BOTH
Issued 11/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/11/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/30/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2014
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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