Joseph P. Dolce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Patrick Dolce II, who also goes by Joseph Patrick Dolce, Joseph Dolce, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2023 - February 7, 2025
UWC WEALTH MANAGEMENT
November 4, 2021 - December 18, 2024
MIT ASSOCIATES, LLC
March 11, 2021 - October 18, 2021
OSAIC FA, INC.
February 23, 2021 - October 18, 2021
OSAIC FA, INC.
November 19, 2019 - March 3, 2021
MML INVESTORS SERVICES, LLC
June 17, 2019 - March 3, 2021
MML INVESTORS SERVICES, LLC
September 13, 2013 - May 16, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 6, 2008 - September 11, 2013
TRANSAMERICA CAPITAL, LLC
December 2, 2004 - October 19, 2007
WELLS FARGO INVESTMENTS, LLC
November 19, 2004 - October 19, 2007
WELLS FARGO INVESTMENTS, LLC
August 23, 2004 - November 23, 2004
VOYA FINANCIAL ADVISORS, INC.
July 1, 2004 - November 23, 2004
VOYA FINANCIAL ADVISORS, INC.
December 16, 2003 - May 27, 2004
CITIGROUP GLOBAL MARKETS INC.
November 16, 2001 - January 3, 2003
GUARDIAN INVESTOR SERVICES LLC
January 29, 2001 - November 21, 2001
CONSECO EQUITY SALES, INC.
June 21, 1999 - March 10, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
December 1, 1997 - November 9, 1998
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 1, 1996 - December 3, 1997
EATON VANCE DISTRIBUTORS, INC.
November 29, 1993 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
January 29, 1993 - January 4, 1994
GRUNTAL & CO., L.L.C.
February 21, 1992 - June 2, 1992
MOORS & CABOT, INC.
May 9, 1991 - February 21, 1992
H.J. MEYERS & CO., INC.
November 15, 1989 - January 11, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 15, 1989 - January 11, 1990
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UWC WEALTH MANAGEMENT
CRD#: 167898 / SEC#: 801-133695
Contact information
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 75,016,598 |
Red Flags
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