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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 Spicer is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph Spicer has been in the financial industry since 1986. Joseph Spicer has Series 7, Series 31 and Series 63 licenses. Joseph Spicer is also licensed as an Investment Advisor Representative in Ohio and Texas. Joseph Spicer has experience with individuals, high-net-worth individuals, corporations, trusts, estates, and retirement plans. Joseph Spicer is located in Cincinnati, 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.
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
OH
02/13/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
OH
06/01/2009 - 01/20/2010
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
02/13/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
NJ
10/12/1994 - 02/24/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
OH
03/01/1989 - 10/13/1994
PROVIDENT SECURITIES & INVESTMENT COMPANY (COLUMBUS OH)
NA
06/25/1986 - 01/30/1989
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 12/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 06/21/1986
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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