Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua James Spain is a financial advisor associated with Raymond James & Associates, Inc. Joshua James Spain's career in the financial services industry began in November of 2004. Joshua James Spain has been with Raymond James & Associates, Inc. since October of 2012. Joshua James Spain is a licensed securities professional and holds the following licenses: Series 7, Series 9, Series 10, and Series 63. Joshua James Spain offers investment advisory 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.
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.
Please see note in schedule d - miscellaneous
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
VA
10/04/2012 - Present
Raymond James & Associates, Inc. (RICHMOND VA)
VA
11/10/2004 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (RICHMOND VA)
BC
Issued 12/16/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2004
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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