Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Wilson Rotta is a financial advisor with Stifel, Nicolaus & Company, Inc., located in Carlsbad, California. Joseph has been in the financial services industry since 1985. He has a broad range of experience in financial planning and investment management, and is a Certified Financial Planner. Joseph serves a diverse client base including individuals, families, businesses, and institutions.
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.
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.
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
CA
08/26/2016 - Present
Stifel, Nicolaus & Company, Inc. (CARLSBAD CA)
CA
01/01/2008 - 05/20/2009
WELLS FARGO ADVISORS, LLC (ESCONDIDO CA)
CA
05/07/1992 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ESCONDIDO CA)
MI
11/16/1988 - 05/15/1992
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
01/01/1986 - 11/16/1988
WEDBUSH SECURITIES, INC.
NA
08/21/1985 - 10/28/1985
BARABAN SECURITIES, INC.
BC
Issued 09/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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