Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Sandford is a financial professional with over 29 years of experience in the industry. Joseph is currently registered with Bofa Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph holds a variety of licenses and certifications, including Series 7, 9, 10, 27, 63, 72, 99TO, and SIE. Joseph has experience in a variety of areas, including investment management, research-related services, and financial planning. Joseph is dedicated to providing his clients with the highest level of service and expertise.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
10/03/2018 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
07/05/2019 - 08/14/2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
PR
10/14/1999 - 07/01/2002
MERRILL LYNCH FINANCIAL SERVICES OF PUERTO RICO, INC. (HATO REY PR)
PR
05/08/1998 - 11/23/1999
MERRILL LYNCH GOVERNMENT SECURITIES OF PUERTO RICO, INC. (HATO REY PR)
BC
Issued 05/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/06/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 08/26/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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