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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Shek is a financial advisor with Morgan Stanley. Joshua has been in the financial services industry since 2011 and has held previous positions at Citigroup Global Markets Inc., Morgan Stanley Smith Barney, and E*TRADE SECURITIES LLC. Joshua holds several licenses including Series 7, 63, 55, 24, 9, 10, and SIE. Joshua is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered with the Securities Investor Protection Corporation (SIPC). Joshua has specialized expertise in investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and asset allocation advice.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
03/08/2016 - Present
Morgan Stanley (New York NY)
NY
07/01/2022 - 09/05/2023
E*TRADE SECURITIES LLC (New York NY)
NY
03/02/2020 - 09/30/2020
SOLIUM FINANCIAL SERVICES LLC (New York NY)
NY
08/11/2011 - 11/15/2012
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/07/2011 - 08/24/2011
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
BC
Issued 09/14/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/11/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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