Joseph Wind is a registered investment advisor, based in Charlotte, NC, with 10 years of industry experience.
Location
Charlotte, NC
Get directionsHistory
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 →Other Business Activities
Joseph owns rental properties in Charlotte, NC, since 2013 and 2024, spending minimal time on upkeep and management. His wife rents out their cottage.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2026 - Present · 4 mos
Raymond James Financial Services, INC.Broker
January 2026 - Present · 4 mos
Previous Registrations
Edward Jones
July 2020 - January 2026 · 5 yrs 6 mos
Edward JonesBroker
February 2020 - January 2026 · 5 yrs 11 mos
Adp Broker-Dealer, INC.Broker
March 2019 - February 2020 · 11 mos
Adp Broker-Dealer, INC.Broker
August 2014 - December 2017 · 3 yrs 4 mos
State Registrations18 states
AKALCACODCFLGAILKSMINCNYPASCTNTXVAVT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.