Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Stein is a financial advisor with over 50 years of experience in the industry. Joseph is currently registered with Oppenheimer & Co. Inc. in New Jersey, New York and Texas. Previously, Joseph worked at NEUBERGER BERMAN LLC and DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.. Joseph is a Registered Principal and has passed the Series 7TO, SIE, PC and Series 1 exams. Joseph provides financial planning, pension consulting and portfolio management services for businesses and individuals.
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.
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.
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.
1
2
NY
10/17/2024 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
05/01/2002 - 09/23/2014
NEUBERGER BERMAN LLC (NEW YORK NY)
NY
06/25/1992 - 05/07/2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. (NEW YORK NY)
NY
07/25/1966 - 06/09/1992
FIRST MANHATTAN CO (NEW YORK NY)
BC
Issued 09/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/31/1977
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1977
PC - AMEX Put and Call Exam
BC
Issued 07/22/1966
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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