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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Vickery is a financial advisor with Morgan Stanley, a firm based in Purchase, New York. Joan has been working in the financial services industry since June 7, 1999. Joan is registered as a Broker/Dealer (BC) in 34 states and as an Investment Advisor Representative (IA) in 3 states. Joan holds the Series 63, Series 66, Series 7, and the SIE exams. Joan has been affiliated with Morgan Stanley since September 2014. Previously, Joan worked for Citigroup Global Markets Inc. in Portland, Maine. Joan is also a partner in Towle Family Partners Limited Partnership.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NH
04/08/2020 - Present
Morgan Stanley (PORTSMOUTH NH)
ME
06/08/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
BOTH
Issued 01/31/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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