Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Smaldone is a financial advisor at Ameriprise Financial Services, LLC in Garden City, NY. Joan has been in the financial industry since 1985. Joan has Series 7, 8, 9, 10, 63 and 66 licenses. Joan has previously worked at UBS Financial Services Inc. and Morgan Stanley. Ameriprise Financial Services, LLC is a large financial services company with over $1 trillion in assets under management. The firm offers a wide range of financial services, including investment management, financial planning, and insurance.
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.
Asset allocation services
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
05/16/2021 - Present
Ameriprise Financial Services, LLC (Garden City NY)
NY
04/27/2018 - 06/03/2021
MORGAN STANLEY (GARDEN CITY NY)
NJ
04/23/1985 - 08/04/2016
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 01/29/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/1985
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 05/03/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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