Joseph Fishel is a registered investment advisor, based in New York, NY, with 23 years of industry experience.
Location
11 Madison Avenue, New York, NY, 10010
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
UBS Securities LLCBroker
August 2023 - Present · 2 yrs 9 mos
UBS Financial Services INC.
January 2014 - Present · 12 yrs 4 mos
UBS Financial Services INC.Broker
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2010 - September 2012 · 2 yrs 6 mos
Wachovia Capital Markets, LLCBroker
July 2003 - May 2009 · 5 yrs 10 mos
Wachovia Securities, LLC
February 2003 - July 2003 · 5 mos
Wachovia Securities, LLCBroker
May 2002 - July 2003 · 1 yr 2 mos
Folger Nolan Fleming Douglas IncorporatedBroker
October 2000 - May 2002 · 1 yr 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.