Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joanne? Claim Your ProfileJoanne Caruso is a financial professional with over 30 years of experience in the industry. She is currently registered with Fidelity Distributors Co. LLC, and previously held positions at FIDELITY BROKERAGE SERVICES LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Joanne is a licensed Series 7, 9, 10, 63, and 65 representative and holds a SIE certification.
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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RI
04/19/2024 - Present
Fidelity Distributors Co. LLC (SMITHFIELD RI)
CT
08/31/2018 - 03/22/2024
FIDELITY BROKERAGE SERVICES LLC (GREENWICH CT)
MN
01/01/1994 - 08/17/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAYZATA MN)
IA
Issued 03/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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