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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 Farrell is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Joanne is licensed to provide investment advice in 43 states and the District of Columbia. Joanne has been in the financial industry since 2004. Joanne offers investment advice and financial planning services to a wide range of clients including individuals, families, trusts, estates, businesses, and retirement plans. Joanne specializes in developing customized investment strategies that are designed to meet the unique needs of each client. Joanne has been recognized for her excellence in client service and her commitment to providing her clients with the highest level of professional expertise.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
01/13/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA BARBARA CA)
BOTH
Issued 11/22/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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