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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph William O'Connell is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Joseph has been in the industry since 1987 and has worked for several firms including Citigroup Global Markets Inc., Lehman Brothers Inc., and Prudential-Bache Securities Inc. Joseph is a licensed Investment Advisor Representative (IAR) in New Jersey, Pennsylvania and Texas, and holds several licenses including Series 3, 7, 9, 10, 63, and 65. Joseph specializes in providing portfolio management, financial planning, and investment consulting services to individuals and businesses.
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
PA
04/15/2014 - Present
Wells Fargo Clearing Services, LLC (CHESTERBROOK PA)
PA
07/31/1993 - 07/28/2008
CITIGROUP GLOBAL MARKETS INC. (BERWYN PA)
NY
01/31/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/21/1987 - 01/31/1989
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 02/07/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/30/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1989
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1987
Series 7 - General Securities 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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