JW
JW

Joseph David Wilcox

20 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
37 advisors
Number of Clients
27 clients
Average Client Portfolio
$431.5M average
Assets Under Management
$11.6B

Fee Structure

Financial Planning:Investment management only
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Location

Lexington, KY

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History

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.

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Other Business Activities

Joseph is a published author for Rowman & Littlefield Publishing and receives royalty payments. He is not currently dedicating any time to this activity.

Employment History
Current Registrations
Ascensus Investment Advisors, LLC
October 2019 - Present · 6 yrs 4 mos
Ascensus Broker Dealer Services, LLCBroker
May 2019 - Present · 6 yrs 9 mos
Ascensus Broker Dealer Services, LLC
May 2019 - Present · 6 yrs 9 mos
Previous Registrations
J.P. Morgan Securities LLC
November 2017 - April 2019 · 1 yr 5 mos
J.P. Morgan Securities LLCBroker
November 2017 - April 2019 · 1 yr 5 mos
Citizens Securities, INC.Broker
May 2016 - March 2017 · 10 mos
Citizens Securities, INC.
May 2016 - March 2017 · 10 mos
PNC Investments
January 2006 - May 2016 · 10 yrs 4 mos
PNC InvestmentsBroker
January 2006 - May 2016 · 10 yrs 4 mos
Ameriprise Financial Services, INC.
August 2004 - November 2005 · 1 yr 3 mos
Ameriprise Financial Services, INC.Broker
August 2004 - November 2005 · 1 yr 3 mos
Ids Life Insurance CompanyBroker
August 2004 - November 2005 · 1 yr 3 mos
State Registrations2 states
KYMA
AdvisorBroker
Exams
No exam information available for this advisor.