Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan D. Siegel is a financial advisor with Cetera Investment Advisers LLC. Joan has been working in the financial industry since 1985 and has experience with financial planning, portfolio management, and pension consulting. Joan holds several licenses and designations, including Series 7, Series 6, Series 22, Series 63, Series 65, and Series 24. Joan is also a Certified Financial Planner. Cetera Investment Advisers LLC is a registered investment advisor with over $100 billion in assets under management.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
06/29/2023 - Present
Cetera Investment Advisers LLC (BAYSIDE NY)
NY
08/01/2003 - 09/03/2013
WALNUT STREET SECURITIES, INC. (BAYSIDE NY)
NY
12/22/1994 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
WA
01/31/1985 - 12/22/1994
RELIASTAR FINANCIAL MARKETING CORP. (SEATTLE WA)
IA
Issued 12/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/14/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/27/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/6/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/21/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 1/30/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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