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 Hafemeister is a financial advisor with UBS Financial Services Inc., located in Denver, Colorado. Joan has been in the financial services industry since December 19, 2019 and has a broad range of experience. She holds Series 7, 66, and SIE licenses and is registered to provide investment advice in 49 states, including Colorado and Texas. Joan is committed to providing personalized financial planning and investment management services to individuals, families, and businesses.
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.
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.
See schedule d - miscellaneous
1
2
CO
08/29/2024 - Present
UBS Financial Services Inc. (DENVER CO)
CO
12/20/2019 - 09/06/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWOOD VILLAGE CO)
BOTH
Issued 06/01/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/17/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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