Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joanna? Claim Your ProfileJoanna Franz is a financial advisor who has been working in the financial services industry since 2001. Joanna is currently registered with UBS Financial Services Inc. and is licensed in Florida, Indiana and Texas. Joanna has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, H. Beck, Inc. and WMA Securities, Inc. Joanna holds FINRA Series 6, 7 and 66 licenses. Joanna has a wide range of experience in the financial services industry and is dedicated to providing her clients with the best possible service.
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
IN
10/06/2023 - Present
UBS Financial Services Inc. (INDIANAPOLIS IN)
IN
04/11/2008 - 10/09/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
FL
03/07/2002 - 04/03/2008
H. BECK, INC. (PLANT CITY FL)
GA
04/16/2001 - 10/09/2001
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 09/14/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2008
Series 7 - General Securities Representative Examination
BC
Issued 04/13/2001
Series 6 - Investment Company Products/Variable Contracts 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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