Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua C. Pottinger is a financial advisor at UBS Financial Services Inc. with over 27 years of experience in the industry. Joshua has a broad range of experience, having worked at a number of firms including Morgan Stanley & Co. Incorporated and A. G. Edwards & Sons, Inc. Joshua is registered with FINRA and holds the Series 7, Series 31, and Series 63 securities licenses, as well as the Series 65 Investment Advisor representative license. Joshua is also a member of the Board of Directors for Make a Wish Central and South Texas.
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.
See schedule d - miscellaneous
1
2
TX
11/28/2008 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
04/02/2007 - 12/02/2008
MORGAN STANLEY & CO. INCORPORATED (AUSTIN TX)
TX
03/27/2000 - 04/02/2007
MORGAN STANLEY DW INC. (AUSTIN TX)
MO
08/21/1995 - 03/28/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 03/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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