Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joanne? Claim Your ProfileJoanne La rocque is an active financial advisor with Empower Financial Services, Inc. Joanne has been in the financial industry since 1999. Joanne is registered with FINRA and has held Series 6, 63, 26 and SIE licenses. Joanne has worked for several firms in the financial services industry including MML Investors Services, LLC, KEY INVESTMENT SERVICES LLC, LPL FINANCIAL LLC and BANC OF AMERICA INVESTMENT SERVICES, INC. Joanne is currently registered in 52 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
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.
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2
MA
01/04/2021 - Present
Empower Financial Services, Inc. (ANDOVER MA)
CT
04/23/2020 - 01/04/2021
MML INVESTORS SERVICES, LLC (ENFIELD CT)
CT
09/21/2016 - 09/13/2019
KEY INVESTMENT SERVICES LLC (ENFIELD CT)
CT
10/31/2011 - 09/21/2016
LPL FINANCIAL LLC (ENFIELD CT)
MA
12/15/2008 - 11/04/2011
MML INVESTORS SERVICES, LLC (SPRINGFIELD MA)
CT
11/02/2005 - 10/03/2008
INFINEX INVESTMENTS, INC. (ENFIELD CT)
MA
10/20/2004 - 11/03/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/25/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
02/04/2000 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
BC
Issued 02/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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