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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 Phillips is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Joan has been a financial advisor since 2002. Joan has offices in Alpharetta, Georgia and Suwanee, Georgia. Joan is licensed to provide investment advice in Georgia and Texas. Joan is also a registered principal. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Joan worked for BANC OF AMERICA INVESTMENT SERVICES, INC., DEUTSCHE BANK SECURITIES INC. and SUNTRUST CAPITAL MARKETS, INC. Joan's areas of specialization include retirement planning, college savings, and estate planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
GA
02/11/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALPHARETTA GA)
GA
06/25/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ALPHARETTA GA)
NY
06/19/2003 - 03/24/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
GA
12/13/2001 - 06/26/2003
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
IA
Issued 10/17/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/18/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/21/2006
Series 4 - Registered Options Principal Examination
BC
Issued 09/05/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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