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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joe? Claim Your ProfileJoe Hahn Locke is an investment advisor representative registered with Morgan Stanley. Joe has been in the industry since 1987 and has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of AMERICA INVESTMENT SERVICES, INC., NATIONSSECURITIES, BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC., BOATMEN'S INVESTMENT SERVICES, INC., R. G. DICKINSON & CO., LASALLE ST SECURITIES, L.L.C., ALLISON, ROSENBLUM & HANNAHS, INC. and UNITED CAPITAL CORPORATION. Joe holds the following licenses: Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 31, Series 52TO, Series 53 and Series 63. Joe has completed the Securities Industry Essentials Examination (SIE) and has earned the Certified Financial Planner designation. Joe is registered with the state of Arkansas and Texas. Joe is affiliated with Morgan Stanley and also registered with FINRA.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AR
09/16/2016 - Present
Morgan Stanley (Little Rock AR)
AR
10/23/2009 - 09/19/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
AR
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LITTLE ROCK AR)
NA
10/15/1997 - 01/01/1998
NATIONSSECURITIES
AR
08/28/1990 - 10/15/1997
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC. (LITTLE ROCK AR)
MO
06/17/1996 - 08/20/1997
BOATMEN'S INVESTMENT SERVICES, INC. (ST. LOUIS MO)
IA
01/02/1990 - 03/09/1990
R. G. DICKINSON & CO. (DES MOINES IA)
IL
08/09/1989 - 12/31/1989
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
NA
09/22/1988 - 08/10/1989
ALLISON, ROSENBLUM & HANNAHS, INC.
NA
01/21/1987 - 09/27/1988
UNITED CAPITAL CORPORATION
IA
Issued 04/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1987
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 02/18/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/03/1993
Series 4 - Registered Options Principal Examination
BC
Issued 08/31/1987
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/30/1988
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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