Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Shute is a financial advisor who has been working in the industry since July 13, 1995. Currently, Joshua Shute is registered with UBS Financial Services Inc. Previously, Joshua Shute has been registered with UBS Securities LLC, UBS Financial Services Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., DEUTSCHE BANK SECURITIES INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Joshua Shute is licensed to provide financial advice in several states.
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
NY
01/17/2024 - Present
UBS Financial Services Inc. (New York NY)
NY
03/20/2020 - 10/18/2023
UBS SECURITIES LLC (NEW YORK NY)
NJ
02/20/2009 - 08/18/2016
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/20/2005 - 01/20/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)
NY
11/22/2002 - 12/17/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
12/12/1991 - 11/19/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 01/31/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/2012
Series 24 - General Securities Principal Examination
BC
Issued 08/18/2016
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1991
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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