Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Weihon Joe is a financial advisor with over 40 years of experience in the industry. Louis is currently registered with Raymond James & Associates, Inc. and has been with the firm since 2009. Louis holds Series 7, Series 63, Series 65, and SIE licenses, and has experience with various investment products and services. Prior to Raymond James & Associates, Inc. Louis worked at CITIGROUP GLOBAL MARKETS INC., Lehman Brothers Inc., Prudential-Bache Securities Inc., and E. F. Hutton & Company Inc. Louis is also a registered representative in Arizona, California, Illinois, Iowa, Missouri, New Mexico, and Washington. Louis specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting.
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
AZ
02/13/2009 - Present
Raymond James & Associates, Inc. (SCOTTSDALE AZ)
AZ
07/31/1993 - 03/05/2009
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
NY
06/06/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/27/1984 - 06/15/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
04/21/1970 - 08/16/1984
E. F. HUTTON & COMPANY INC
IA
Issued 06/04/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/24/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 04/16/1970
Series 1 - Registered 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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