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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 Santos is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph has been in the industry since 2007. Joseph is registered with FINRA as a registered representative and investment advisor representative. Joseph has also passed several industry exams, including the Series 7, Series 31, and Series 66 exams. Joseph is registered with the state of California as an investment advisor representative. Joseph is also registered with the state of Texas as an investment advisor representative. Joseph has specialized in serving the needs of insurance companies, charitable organizations, high-net-worth individuals, pension and profit sharing plans, corporations or other businesses, and individuals other than high-net-worth. Joseph has worked at several other firms in the past, including UBS Financial Services Inc. and Morgan Stanley & Co., Incorporated.
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
CA
11/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA CLARITA CA)
CA
04/03/2008 - 03/19/2010
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
CA
10/16/2007 - 03/28/2008
MORGAN STANLEY & CO., INCORPORATED (VALENCIA CA)
BOTH
Issued 11/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/12/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/06/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 10/15/2007
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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