Joseph Staples
Joseph Staples is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Richmond, VA, with 8 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
3901 Westerre Pkwy, Ste 300, Richmond, VA, 23233
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Regulatory History
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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Joseph owns an investment rental property in Albrightsville, PA since February 2022, dedicating a few hours per week. He also resells household goods on eBay, starting in June 2021, which also takes a few hours per week.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLC
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Vanguard Advisers, INC.
Vanguard Marketing CorporationBroker
Edward Jones
Edward JonesBroker
State Registrations4 states
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.