Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Marie Coleman has been in the financial services industry since 1986. She is currently a Registered Representative and Investment Advisor Representative with Wells Fargo Clearing Services, LLC, where Joan has been employed since 2016. Joan has a diverse background in the industry, having previously worked at A. G. EDWARDS & SONS, INC., SMITH BARNEY SHEARSON INC., and LEHMAN BROTHERS INC. Joan offers a range of financial services, including investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
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.
Investment consulting services to institutional clients
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
CT
05/24/2013 - Present
Wells Fargo Clearing Services, LLC (MYSTIC CT)
CT
08/20/1993 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ESSEX CT)
NY
07/31/1993 - 09/10/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
03/19/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 11/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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