Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Pace is an investment advisor representative currently associated with Wells Fargo Clearing Services, LLC. Joshua Pace has been active in the financial services industry since 2009. Joshua Pace is registered with the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA). Joshua Pace holds a Series 66, Series 7 and SIE license. Joshua Pace is currently registered in 14 states including Arizona, California, Connecticut, Florida, Idaho, Indiana, Massachusetts, Nevada, New Mexico, New York, Texas, Utah, and Washington. Joshua Pace has been associated with First Republic Securities Company, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated in the past.
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
CA
06/05/2023 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
10/26/2018 - 06/06/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (Encino CA)
CA
09/16/2009 - 10/30/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
NY
03/26/2001 - 11/20/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/14/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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