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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joanne? Claim Your ProfileJoanne Carey Esfahani is a financial advisor registered with Wells Fargo Clearing Services, LLC. Joanne has been working in the financial industry since 1996. Joanne is licensed in Illinois, Kansas, Massachusetts, Missouri and Utah and has worked for several financial companies throughout her career including Sun Life Financial Distributors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joanne has passed the Series 3, 7, 9, 10, 63, and 65 exams and specializes in portfolio management for businesses and individuals as well as financial planning and pension consulting.
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
MO
12/21/2017 - Present
Wells Fargo Clearing Services, LLC (SPRINGFIELD MO)
MA
03/01/2005 - 02/19/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
NY
03/25/2004 - 02/09/2005
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
02/22/1995 - 09/22/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/21/1994 - 09/18/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 08/17/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/16/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/18/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1994
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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