Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Higgins Cleveland is a financial professional with over 27 years of experience in the financial services industry. Joan is currently registered with Swbc Investment Co. and is licensed in 42 states. Joan provides financial planning, pension consulting, and portfolio management services for individuals, businesses, and pooled investment vehicles. She is also a member of the board of directors for various organizations, including the Consumer Credit Industry Association and the Texas Association of Life and Health Insurers.
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.
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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TX
04/01/2013 - Present
Swbc Investment Co. (SAN ANTONIO TX)
NJ
05/11/2005 - 03/20/2013
PRUCO SECURITIES, LLC. (NEWARK NJ)
IL
01/01/2004 - 01/13/2005
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
VA
12/21/2000 - 01/01/2004
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
NY
03/29/1999 - 12/07/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
03/29/1999 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
10/06/1997 - 12/31/1998
VAN ECK SECURITIES CORPORATION (NEW YORK NY)
PA
08/18/1994 - 10/09/1997
ING AMERICA EQUITIES, INC. (WEST CHESTER PA)
IA
Issued 05/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/09/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1998
Series 7 - General Securities Representative Examination
BC
Issued 04/11/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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