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Joan Beatty

Wells Fargo Securities, LLC

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About Joan Beatty

Joan Beatty is a registered representative with Wells Fargo Securities, LLC. Joan has been in the securities industry since August 3, 1995, working in various roles at different firms. Joan is currently based in New York, New York and has passed Series 7, 52, 53, 99, and SIE exams.

Firm Information

Joan Beatty is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joan Beatty’s Registration & Firm History

NY

07/01/2003 - Present

Wells Fargo Securities, LLC (New York NY)

MO

08/14/2001 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

MO

10/01/1999 - 08/31/2000

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

02/02/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NC

08/22/1994 - 02/02/1998

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 11/04/1994

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joan Beatty.
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