Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Duquette is a financial advisor at RBC Capital Markets, LLC with over 17 years of experience in the industry. Joan has a wide range of experience and holds licenses in both Broker-Dealer and Investment Advisory capacities. Joan is currently registered in Idaho and Utah. Joan's previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, DFPG Investments, Inc., Pruco Securities, LLC., and E*TRADE SECURITIES LLC.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
UT
01/22/2024 - Present
RBC Capital Markets, LLC (SALT LAKE CITY UT)
UT
09/05/2019 - 01/04/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SALT LAKE CITY UT)
UT
04/26/2018 - 07/02/2019
DFPG INVESTMENTS, INC. (Sandy UT)
UT
07/26/2017 - 04/26/2018
PRUCO SECURITIES, LLC. (SOUTH JORDON UT)
DC
04/20/2007 - 07/14/2017
E*TRADE SECURITIES LLC (WASHINGTON DC)
UT
07/24/2006 - 04/23/2007
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
BOTH
Issued 05/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/01/2011
Series 24 - General Securities Principal Examination
BC
Issued 04/25/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2006
Series 7 - General Securities Representative Examination
Active
Inactive
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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