Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Wells is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Charlotte, North Carolina. Joseph has been in the securities industry since 2009. Previously, Joseph worked with Robinhood Financial, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., and NEW ENGLAND SECURITIES. Joseph has a diverse range of experience in the financial services industry and has held a variety of roles, including financial advisor, sales representative and supervisor. Joseph is a licensed Series 7, 63, 66, 9, 10, 4 and SIE representative.
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
NC
01/30/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
05/21/2021 - 08/08/2022
ROBINHOOD FINANCIAL, LLC (Charlotte NC)
NC
02/05/2014 - 04/29/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
01/25/2011 - 02/07/2014
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
01/16/2009 - 12/22/2010
NEW ENGLAND SECURITIES (CHARLOTTE NC)
BOTH
Issued 03/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/23/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2022
Series 4 - Registered Options Principal Examination
BC
Issued 03/17/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/11/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/15/2009
Series 6 - Investment Company Products/Variable Contracts 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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