Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Traba is a financial advisor with over 50 years of experience in the financial services industry. Joseph is currently registered with Wells Fargo Clearing Services, LLC and is licensed in 32 states and 2 Canadian provinces. Joseph has worked with a variety of clients including high-net-worth individuals, corporations, and charitable organizations. Joseph specializes in investment consulting, financial planning, and portfolio management. Joseph is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Investment consulting services to institutional clients
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
FL
07/26/2016 - Present
Wells Fargo Clearing Services, LLC (CORAL GABLES FL)
NY
08/25/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/06/1974 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
12/04/1969 - 03/01/1974
BACHE & CO INCORPORATED
IA
Issued 07/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 12/01/1969
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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