Unclaimed
Joshua Leon is a financial advisor with RBC Capital Markets, LLC. Joshua has over 8 years of experience in the financial services industry. Joshua has a strong track record of helping clients achieve their financial goals. Joshua is registered in 40 states and holds the Series 6, 7, 63, and 66 licenses. Joshua specializes in providing financial planning, investment management, and retirement planning services to individuals, families, and businesses. Prior to joining RBC Capital Markets, LLC, Joshua worked at Prudential Investment Management Services LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
NJ
12/05/2023 - Present
RBC Capital Markets, LLC (FLORHAM PARK NJ)
NJ
01/08/2020 - 11/14/2023
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
08/27/2018 - 12/11/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PARAMUS NJ)
NJ
06/08/2015 - 08/21/2018
WELLS FARGO CLEARING SERVICES, LLC (BLOOMFIELD NJ)
BOTH
Issued 11/26/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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