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Joan Marie Martinez

Morgan Stanley

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About Joan Marie Martinez

Joan Marie Martinez has been a registered investment advisor since 1991. She is currently registered with Morgan Stanley and has been with the firm since 2009. Joan Marie Martinez is licensed to provide advisory services in 48 states and is a Series 7, Series 31, Series 55, Series 57TO and SIE licensed advisor. She has been a representative for several firms including Morgan Stanley DW Inc., Dean Witter Reynolds Inc. and Robert W. Baird & Co. Incorporated.

Firm Information

Joan Martinez is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Joan Martinez’s Registration & Firm History

MN

02/11/2014 - Present

Morgan Stanley (Bloomington MN)

MN

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (BLOOMINGTON MN)

MN

04/25/2005 - 04/02/2007

MORGAN STANLEY DW INC. (BLOOMINGTON MN)

WI

07/14/2003 - 04/26/2005

SII INVESTMENTS, INC. (APPLETON WI)

NY

09/12/2001 - 05/09/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

12/18/2000 - 03/16/2001

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

WI

02/02/1994 - 11/06/2000

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

MN

05/20/1991 - 03/01/1994

IAI SECURITIES, INC. (MINNEAPOLIS MN)

MN

04/24/1990 - 10/05/1990

MILLER & SCHROEDER FINANCIAL, INC. (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 05/07/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/23/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 06/30/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/21/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joan Marie Martinez.
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