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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 Dorris is a financial advisor with Wells Fargo Clearing Services, LLC. Joanne is a registered representative in Virginia and Texas and has been in the industry since 1993. Before joining Wells Fargo Advisors LLC in 2011, Joanne worked with Moors & Cabot, Inc. and Moors & Cabot Financial Advisors, LLC. Joanne provides investment consulting services to institutional clients, as well as financial planning, pension consulting, and portfolio management for individuals and businesses. Joanne holds the Series 7, 8, 31, 63, 65, and 66 licenses and the SIE designation.
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
VA
02/18/2017 - Present
Wells Fargo Clearing Services, LLC (MCLEAN VA)
VA
06/20/2008 - 03/28/2011
MOORS & CABOT, INC. (ALEXANDRIA VA)
VA
11/17/2005 - 06/20/2008
MOORS & CABOT FINANCIAL ADVISORS, LLC (ALEXANDRIA VA)
VA
02/05/1993 - 08/18/2006
MOORS & CABOT, INC. (ALEXANDRIA VA)
BOTH
Issued 02/18/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/24/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 02/03/1993
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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