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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 Roy Hargrove is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph Roy Hargrove has been in the financial industry since 2004. He is currently registered with the state of Illinois and Texas, and holds Series 63, 66, 7, 9, 10, and SIE licenses. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph Roy Hargrove was registered with Charles Schwab & Co., Inc. from 2011 to 2022. Joseph Roy Hargrove has also worked for First Trust Portfolios L.P. and Bondwave LLC in the past.
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
IL
04/28/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
03/22/2011 - 05/05/2022
CHARLES SCHWAB & CO., INC. (Chicago IL)
IL
10/06/2009 - 03/04/2011
FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)
IL
05/20/2004 - 11/26/2008
BONDWAVE LLC (WHEATON IL)
BOTH
Issued 10/23/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/16/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2004
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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