JC
Joan H. Cleveland
SWBC INVESTMENT COMPANY
San Antonio, TX 78216-4459
Some features on this profile are disabled
CRD#: 1740453
JC
Professional summary
Joan Higgins Cleveland, who also goes by Joan H Foster, Joan Higgins Foster, Joan Foster, Joan Golden, is a registered financial advisor currently at SWBC INVESTMENT COMPANY located in San Antonio, Texas and SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Joan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joan H Foster | Joan Higgins Foster | Joan Foster | Joan Golden
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)SWBC LIFE INSURANCE CO., PRESIDENT/CEO, LIFE INSURANCE SALES AND MANAGEMENT, 160 HOURS/MONTH; 2)CHAIRMAN,CONSUMER CREDIT INDUSTRY ASSOCIATION, ATLANTA, GA, 1HR/WEEK, NOT INVESTMENT RELATED; 3)BOARD MEMBER/SECRETARY,TEXAS ASSOCIATION OF LIFE AND HEALTH INSURERS, AUSTIN, TX, 2HR/WEEK, NOT INVESTMENT RELATED 4)AMERICAN BANKERS INSURANCE ASSOCIATION BOARD MEMBER, WASHINGTON, DC, 2HR/WEEK, NOT INVESTMENT RELATED, 5)PRESIDENT, HIGH COUNTRY RANCH HOA, SAN ANTONIO, TX, 0.25 HR/WEEKK, NOT INVESTMENT RELATED; 6)GOVERNING BOARD MEMEBER, MAKE A WISH OF CENTRAL AND SOUTH TEXAS, AUSTIN, TX 2HR/WEEK;
CRS (Client Relationship Summary) - RIA
Click below to view Joan Higgins Cleveland's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 1, 2013 - Present
SWBC INVESTMENT COMPANY
Office #1: 9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459RIA
CRD#: 140994
San Antonio, TX
Current
April 1, 2013 - Present
SWBC INVESTMENT SERVICES, LLC
Office #1: 9311 San Pedro Suite 600, San Antonio, TX 78216Office #2: 9311 San Pedro, Ste 600, San Antonio, TX 78216BD
CRD#: 133715
San Antonio, TX
Past
May 11, 2005 - March 20, 2013
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
NEWARK, NJ
Past
May 11, 2005 - March 20, 2013
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
January 1, 2004 - January 13, 2005
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
December 21, 2000 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
March 29, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 29, 1999 - December 7, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 6, 1997 - December 31, 1998
VAN ECK SECURITIES CORPORATION
BD
CRD#: 2269
NEW YORK, NY
Past
August 18, 1994 - October 9, 1997
SLD AMERICA EQUITIES, INC.
BD
CRD#: 36259
WEST CHESTER, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/24/2021)
RR
Arizona(3/24/2021)
RR
Arkansas(3/24/2021)
RR
California(3/24/2021)
RR
Colorado(3/24/2021)
RR
Connecticut(3/24/2021)
RR
Delaware(3/24/2021)
RR
District of Columbia(3/24/2021)
RR
Florida(3/24/2021)
RR
Georgia(3/24/2021)
RR
Hawaii(3/24/2021)
RR
Idaho(3/24/2021)
RR
Illinois(3/24/2021)
RR
Indiana(3/24/2021)
RR
Iowa(3/24/2021)
RR
Kansas(3/24/2021)
RR
Kentucky(3/24/2021)
RR
Louisiana(3/24/2021)
RR
Maryland(3/24/2021)
RR
Michigan(3/24/2021)
RR
Minnesota(3/24/2021)
RR
Mississippi(3/24/2021)
RR
Missouri(3/24/2021)
RR
Montana(3/24/2021)
RR
Nebraska(3/24/2021)
RR
Nevada(3/24/2021)
RR
New Jersey(3/24/2021)
RR
New Mexico(3/24/2021)
RR
New York(3/24/2021)
RR
North Carolina(3/24/2021)
RR
Ohio(3/25/2021)
RR
Oklahoma(3/24/2021)
RR
Oregon(3/24/2021)
RR
Pennsylvania(3/24/2021)
RR
South Carolina(3/24/2021)
RR
South Dakota(10/10/2025)
RR
Tennessee(3/24/2021)
RR
Texas(4/1/2013)
IAR
Texas(4/1/2013)
RR
Utah(3/24/2021)
RR
Vermont(3/24/2021)
RR
Virginia(3/24/2021)
RR
West Virginia(3/24/2021)
RR
Wisconsin(3/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459
Mailing Address
Phone number
(210) 376-3279
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 406 |
| AUM (Assets Under Management) | $ 229,193,705 |
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.
