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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 Samuel Simpson is a financial advisor with over 35 years of experience in the industry. Joseph Samuel Simpson is currently registered with Morgan Stanley in San Jose, CA. Joseph Samuel Simpson has previously worked at CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., and E. F. HUTTON & COMPANY INC. Joseph Samuel Simpson holds Series 3, 7, 63, and 65 licenses and the SIE exam. Joseph Samuel Simpson provides asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals and investment companies. Joseph Samuel Simpson has over 20 years of experience with Morgan Stanley. Joseph Samuel Simpson is a member of FINRA and the SEC.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
02/19/2020 - Present
Morgan Stanley (San Jose CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/21/1985 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 05/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1985
Series 3 - National Commodity Futures Examination
BC
Issued 02/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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