Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Griffith is a financial advisor at UBS Securities LLC. Joseph has over 24 years of experience in the financial services industry. He is a licensed securities representative and investment banking representative. Joseph holds the Series 3, 7, 63 and SIE licenses. He has worked at a number of financial institutions, including RBC Capital Markets, LLC, BNP Paribas Securities Corp., Bank of America Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Deutsche Bank 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
04/05/2023 - Present
UBS Securities LLC (NEW YORK NY)
NY
09/29/2021 - 04/20/2023
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
07/10/2019 - 08/13/2021
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
05/10/2019 - 07/05/2019
BOFA SECURITIES, INC. (NEW YORK NY)
NY
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/10/2008 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/18/2004 - 04/04/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
IL
05/19/2003 - 05/17/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
NY
04/15/2002 - 01/22/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/23/1997 - 03/26/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/02/1997 - 07/07/1997
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
BC
Issued 04/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1998
Series 3 - National Commodity Futures Examination
BC
Issued 04/18/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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