Joan Demarco
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.
Joan Demarco, who also goes by Joan Cardascia, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1985. Joan had worked at 8 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2007 - April 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 11, 1993 - March 15, 1994
BURNETT, GREY & CO., INC.
August 19, 1992 - December 31, 1992
FIRST NEW ENGLAND SECURITIES CORPORATION
January 6, 1992 - August 7, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 4, 1991 - January 7, 1992
TAMARON INVESTMENTS, INC.
September 11, 1991 - October 8, 1991
FIRST EMPIRE SECURITIES, INC.
March 18, 1991 - September 4, 1991
TAMARON INVESTMENTS, INC.
September 7, 1988 - October 26, 1990
THE STUART-JAMES COMPANY, INCORPORATED
August 9, 1986 - January 21, 1988
THE STUART-JAMES COMPANY, INCORPORATED
July 23, 1985 - April 7, 1987
MABON, NUGENT & CO.
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
Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
