Joanne M. Buckley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joanne Madaline Buckley, who also goes by Joanne N Buckley, Joanne Nielsen Buckley, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1984. Joanne had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2003 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
May 5, 2003 - March 25, 2015
MORGAN STANLEY & CO. LLC
January 2, 2003 - April 8, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 2, 2003 - April 8, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 25, 2000 - June 28, 2002
WILLIAM BLAIR
June 27, 1990 - April 7, 1995
MORGAN STANLEY & CO. LLC
November 20, 1986 - June 5, 1990
FIRST CAPITAL INVESTMENT CORPORATION
June 20, 1984 - November 4, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY MARKET PRODUCTS INC.
CRD#: 19794 / SEC#: , 8-37795
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | BENEFICIAL OWNER | |
| DAFFRON, STEPHEN | CHIEF OPERATIONS OFFICER | 3219009 |
| DAURIA, JOSEPH RICHARD | VICE PRESIDENT | 2264916 |
| FANNING, JANE E | DIRECTOR AND VICE PRESIDENT | 4851381 |
| FEARON, CHARMAINE ROBERTA | VICE PRESIDENT | 4563789 |
| LALANDE, YANN JOSEPH | VICE PRESIDENT | 4219648 |
| LOCOSA, LAURA E | VICE PRESIDENT | 1349591 |
| MOORE, DAVID NEIL | DIRECTOR AND PRESIDENT | 2408228 |
| NAFTZGER, STEVEN THOMAS | VICE PRESIDENT | 4285833 |
| PALLADINO, LOUIS ANGELO | VICE PRESIDENT | 2630899 |
| PLATEL, SIMON NICHOLAS | VICE PRESIDENT | 4857171 |
| PRATA, BERNARDO E | VICE PRESIDENT | 2185678 |
| RICHTER, ROSEANNE NANCY | CHIEF COMPLIANCE OFFICER | 1771193 |
| SANDBERG, BRUCE R | VICE PRESIDENT | 1827143 |
| TANNENBAUM, ELLIOT IRA | VICE PRESIDENT | 4705433 |
| TEICHHOLTZ, COLIN H | DIRECTOR AND VICE PRESIDENT | 2269575 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
