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James Frederick Joseph

Morgan Stanley

Orchard Park, NY

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED 2020-03-06
CT RA APPROVED 2019-10-04
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED
    Since 2020-03-06
  • CT RA
    APPROVED
    Since 2019-10-04

Branch Locations

6532 East Quaker Road, Orchard Park, NY 14127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Williamsville NY 10/1992 10/2019
Morgan Stanley Smith Barney Llc Williamsville NY 10/2019 Present
Morgan Stanley Private Bank, N.A New York NY 10/2019 Present
  • 10/1992 → 10/2019
    Ubs Financial Services Inc.
    Williamsville, NY
  • 10/2019 → Present
    Morgan Stanley Smith Barney Llc
    Williamsville, NY
  • 10/2019 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-09-08
S63 Uniform Securities Agent State Law Examination 1992-09-14
  • S65 Uniform Investment Adviser Law Examination
    2011-09-08
  • S63 Uniform Securities Agent State Law Examination
    1992-09-14

View on SEC IAPD

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Other Offices

WATERFORD ADVISORS, LLC · ORCHARD PARK, NY
OSAIC WEALTH, INC. · ORCHARD PARK, NY
EDWARD JONES · ORCHARD PARK, NY
GENEOS WEALTH MANAGEMENT, INC. · Orchard Park, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
FARRELL FINANCIAL · ORCHARD PARK, NY

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