Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joanne? Claim Your ProfileJoanne Gordon is a financial advisor with Wells Fargo Clearing Services, LLC, and has been in the industry since 1993. She is registered with the state of California and Texas as both a Registered Representative (Series 7) and Investment Advisor Representative (Series 65). Joanne has worked for UBS Financial Services Inc. and Lehman Brothers Inc. in the past. She is a Series 63 and Series 65 holder, having passed the exams in 1997. Joanne holds the SIE and Series 7 licenses as well.
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.
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2
CA
06/24/2020 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
CA
12/24/1996 - 07/09/2020
UBS FINANCIAL SERVICES INC. (SANTA BARBARA CA)
NY
07/20/1988 - 02/19/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 03/04/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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