Joseph Anthony, financial advisor Birmingham AL
89 score

Joseph Anthony

CRD Number: 5499369
Current Firm: Ubs Financial Services Inc.

Joseph Anthony (CRD# 5499369) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Birmingham, AL and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Birmingham, AL Aug 2014 - Current 2
Cetera Investment Services LLC St.cloud, MN Jan 2014 - Aug 2014 < 1
Regions Bank Birmingham, AL Aug 2010 - Aug 2014 4
Sterling Group Birmingham, AL Feb 2010 - Aug 2010 < 1
New York Life Insurance Company Birmingham, AL Feb 2008 - Feb 2010 2
Nylife Securities, LLC Birmingham, AL Feb 2008 - Feb 2010 2
Unemployed Birmingham, AL Dec 2006 - Feb 2008 1
Birmingham-southern College Birmingham, AL Aug 2002 - Dec 2006 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2014
Contact Info for Joseph E. Anthony
Phone Number: 201-352-3000
Registered State(s):
  • AL
  • LA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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