Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joyce? Claim Your ProfileJoyce Audrey Swanson-bader is a financial professional with over 20 years of experience in the industry. Joyce is registered with Cetera Financial Specialists LLC, Cetera Advisors LLC, Cetera Advisor Networks LLC, and Cetera Investment Services LLC. Joyce holds a variety of licenses including Series 6, 7, 24, 52, 53, 63, and SIE. Joyce is also licensed in Minnesota. Previously Joyce was employed by First Allied Securities, Inc., Summit Brokerage Services, Inc., Girard Securities, Inc., Legend Equities Corporation, Investors Capital Corp., VSR Financial Services, Inc., Dougherty & Company LLC, Askar Corp., Wells Fargo Investments, LLC, Workman Securities Corporation, and Financial Network Investment Corporation.
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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2
GA
01/26/2016 - Present
Cetera Financial Specialists LLC (ATLANTA GA)
MN
01/26/2016 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (St. Cloud MN)
MN
01/26/2016 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (ST CLOUD MN)
MN
01/26/2016 - 11/01/2017
GIRARD SECURITIES, INC. (ST. CLOUD MN)
MN
01/26/2016 - 12/14/2016
LEGEND EQUITIES CORPORATION (St. Cloud MN)
MN
01/26/2016 - 11/09/2016
INVESTORS CAPITAL CORP. (ST. CLOUD MN)
MN
01/26/2016 - 11/09/2016
VSR FINANCIAL SERVICES, INC. (St. Cloud MN)
MN
12/01/2003 - 06/22/2015
DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)
MN
02/05/2003 - 10/31/2003
ASKAR CORP. (BLOOMINGTON MN)
CA
12/18/2001 - 02/11/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
03/19/2001 - 12/14/2001
WORKMAN SECURITIES CORPORATION (EDEN PRAIRIE MN)
CA
11/09/1999 - 09/06/2000
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
BC
Issued 12/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/08/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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