Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Renee Phinney is a financial advisor who has been in the industry since 1991. Joan is currently registered with UBS Financial Services Inc. and is also registered as an Investment Advisor Representative in California. Previously, Joan worked for WELLS FARGO CLEARING SERVICES, LLC, RBC DAIN RAUSCHER INC., CITIGROUP GLOBAL MARKETS INC., WELLS FARGO INVESTMENTS, LLC, ROBERTSON STEPHENS, INC., DEAN WITTER REYNOLDS INC., and EVEREN SECURITIES, INC. Joan has a broad range of experience and expertise in the financial services industry.
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
CA
07/01/2021 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/20/2008 - 07/01/2021
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
12/11/2006 - 02/20/2008
RBC DAIN RAUSCHER INC. (SAN FRANCISCO CA)
CA
03/30/2005 - 12/14/2006
CITIGROUP GLOBAL MARKETS INC. (SAN RAFAEL CA)
CA
08/21/2002 - 04/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
03/27/2000 - 08/09/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NY
12/04/1993 - 05/04/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MO
07/03/1991 - 11/09/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
IA
Issued 04/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/29/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 07/01/1991
Series 7 - General Securities Representative 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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