Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Alane Sommerlad is a financial professional with over 25 years of experience in the industry. Joan currently works at Charles Schwab & CO., Inc. as a Registered Representative. Joan has experience with both broker-dealer and investment advisory firms. Previously, Joan worked at COMPASS BROKERAGE, INC., NATHAN & LEWIS SECURITIES, INC. and Charles Schwab & CO., INC. Joan has held licenses for Series 3, 7, 8, 9, 10, 63, and SIE examinations. Joan is registered with the state of Arizona.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
11/27/2007 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
01/01/2002 - 10/31/2007
COMPASS BROKERAGE, INC. (PHOENIX AZ)
NY
08/27/2001 - 09/26/2001
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
TX
07/31/1996 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 07/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/20/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1996
Series 7 - General Securities Representative Examination
BC
Issued 01/21/1988
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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