Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Licate is a financial advisor at UBS Financial Services Inc. with over 40 years of experience in the industry. Joseph has been registered with UBS Financial Services Inc. since August 2008 and has previously held positions at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Joseph is licensed to provide investment advice in over 20 states. Joseph specializes in providing financial planning, portfolio management, and educational seminars to individuals, families, and businesses. Joseph is also a registered investment advisor in Ohio.
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
OH
08/18/2008 - Present
UBS Financial Services Inc. (PEPPER PIKE OH)
OH
04/02/2007 - 08/19/2008
MORGAN STANLEY & CO. INCORPORATED (CLEVELAND OH)
OH
06/07/1978 - 04/02/2007
MORGAN STANLEY DW INC. (CLEVELAND OH)
IA
Issued 04/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/16/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 06/07/1978
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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