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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jodi? Claim Your ProfileJodi Duplain is a financial advisor with over 25 years of experience in the industry. Jodi is currently registered with Wells Fargo Clearing Services, LLC and has offices in Boca Raton, Florida. Jodi has a broad range of experience working with individual investors, businesses, and institutions. Jodi has passed the Series 3, 7, 8, 9, 10, 63, 65, 99TO, and SIE exams and has an active registration in 53 states and two territories for securities and investment advisory activities. Jodi specializes in investment consulting, portfolio management, and financial planning, and has experience providing investment advisory services to institutional clients.
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.
1
2
FL
06/22/2021 - Present
Wells Fargo Clearing Services, LLC (BOCA RATON FL)
NY
01/11/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/19/1999 - 01/10/2001
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
09/28/1995 - 04/19/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/26/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1997
Series 3 - National Commodity Futures Examination
BC
Issued 09/27/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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