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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 Duffy is a financial advisor with Raymond James & Associates, Inc. Joanne has been in the financial services industry since 1986. Joanne's expertise includes providing financial planning, portfolio management and other investment advisory services to individuals, businesses, pension plans, corporations, insurance companies and charitable organizations. Joanne is registered with the state of Texas as an Investment Advisor Representative.
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.
Please see note in schedule d - miscellaneous
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
NY
04/24/2023 - Present
Raymond James & Associates, Inc. (New York NY)
NY
01/13/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
11/25/1987 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NA
06/22/1987 - 11/18/1987
BEAR, STEARNS & CO. INC.
NA
12/23/1986 - 06/26/1987
ADVEST, INC.
IA
Issued 06/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/23/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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