Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH MARK HUBBELL
CRD#: 1302404
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 280 PARK AVE 27TH & 29TH FLS
NEW YORK, NY 10017
Registration History
1985199019952000200520102015202020252 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2010 (15 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1993 - 1995 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1987 - 1993 (5 years)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1984 - 1988 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2010 (4 years)
License(s)

State Registrations

B
California 12/1/2023
B
New Jersey 12/4/2023
B
Colorado 12/1/2023
B
New York 12/1/2023
B
Connecticut 12/1/2023
IA
New York 12/1/2023
B
District of Columbia 12/1/2023
B
Pennsylvania 12/1/2023
B
Florida 12/1/2023
B
Rhode Island 12/1/2023
B
Georgia 12/1/2023
B
South Carolina 12/1/2023
B
Illinois 12/1/2023
B
Tennessee 12/1/2023
B
Maine 12/1/2023
B
Texas 12/1/2023
B
Maryland 12/1/2023
IA
Texas 12/1/2023
B
Massachusetts 12/5/2023
B
Vermont 12/1/2023
B
Michigan 12/1/2023
B
Virginia 12/1/2023
B
Nevada 12/1/2023
B
Washington 12/1/2023
B
New Hampshire 9/17/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
280 PARK AVE 27TH & 29TH FLS, NEW YORK, NY 10017
125 HIGH ST STE 1359A, BOSTON, MA 02110
Registered with this firm since 12/1/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
280 PARK AVE 27TH & 29TH FLS, NEW YORK, NY 10017
125 HIGH ST STE 1359A, BOSTON, MA 02110
Registered with this firm since 12/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/22/2019 - 12/12/2023 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) LLOYD HARBOR, NY
B
 03/01/2019 - 12/12/2023 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
IA
 05/13/2016 - 03/04/2019 SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299) NEW YORK, NY
B
 05/13/2016 - 03/01/2019 SNOWDEN ACCOUNT SERVICES LLC (CRD#:149794) NEW YORK, NY
IA
 11/09/2012 - 05/17/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 11/09/2012 - 05/17/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
 03/12/2010 - 11/23/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
B
 03/12/2010 - 11/23/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
IA
 08/05/2005 - 03/19/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 01/28/1995 - 03/19/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 04/26/1993 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 08/24/1987 - 04/26/1993 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
 10/25/1984 - 01/26/1988 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.