Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Kaye is a financial advisor with over 30 years of experience in the financial services industry. Joan is a registered representative and investment advisor representative, currently associated with Key Investment Services LLC. Joan has worked with a number of firms over the years, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Long Island Investors, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and UBS Securities LLC. Joan has a wide range of experience in the financial services industry and is committed to providing her clients with personalized advice and guidance.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
OH
03/26/2021 - Present
KEY Investment Services LLC (BROOKLYN OH)
NY
11/01/2012 - 07/19/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MELVILLE NY)
NY
08/22/2011 - 09/19/2012
FIRST LONG ISLAND INVESTORS, LLC (JERICHO NY)
NY
06/01/2009 - 06/03/2011
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
01/04/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/06/2005 - 10/25/2007
BUTLER CAPITAL INVESTMENTS, LLC (OLD WESTBURY NY)
NY
05/24/1996 - 08/04/2000
UBS WARBURG LLC (NEW YORK NY)
NY
01/22/1992 - 05/28/1996
MEREDITH, MARTIN & KAYE INCORPORATED (NEW YORK NY)
NA
05/17/1996 - 05/24/1996
UBS SECURITIES LLC
NY
06/05/1984 - 01/24/1992
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NA
12/11/1981 - 06/01/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 06/10/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/19/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/21/1992
Series 24 - General Securities Principal Examination
BC
Issued 02/11/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/19/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/05/2005
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 02/21/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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