Joan M. Alexander
Professional summary
Joan Miller Alexander, who also goes by Joan Cates, Joan Miller, is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in Austin, Texas.
Joan is registered as a RR (Registered Representative) and started their career in finance in 1984. Joan has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joan Miller Alexander's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2005 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 6805 Capital Of Texas Highway Suite 350, Austin, TX 78731February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
July 7, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
January 22, 1998 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
December 2, 1992 - December 31, 1997
MOMENTUM INDEPENDENT NETWORK INC.
May 26, 1992 - October 8, 1992
RAUSCHER PIERCE REFSNES, INC.
March 15, 1991 - April 1, 1992
WELLS FARGO CLEARING SERVICES, LLC
November 28, 1984 - June 11, 1990
GREYSTONE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/17/2005)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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