Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Thomas is a financial professional with over 1 year of experience in the financial services industry. Joseph is currently registered with Scotia Capital (usa) Inc. as a broker. Joseph has been registered with various states in the United States including Alabama, Alaska, Arizona, Arkansas and California. Joseph also holds Series 63, 86, 87, 7TO and SIE exams and is a registered representative with FINRA. Previously, Joseph worked as a broker at BOFA SECURITIES, INC.
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.
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.
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2
NY
07/08/2024 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
09/20/2022 - 04/03/2023
BOFA SECURITIES, INC. (NEW YORK NY)
BC
Issued 10/08/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2023
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 11/22/2022
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/20/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/16/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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