Joanne M. Rae
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 Margaret Rae, who also goes by Joanne Margaret Giambrone, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1988. Joanne had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2010 - June 3, 2022
FORTUNE FINANCIAL SERVICES, INC.
March 10, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 10, 2006 - March 4, 2009
MSI FINANCIAL SERVICES, INC.
May 24, 2005 - March 3, 2006
HORNOR, TOWNSEND & KENT, LLC
November 6, 2002 - May 5, 2005
CUNA BROKERAGE SERVICES, INC.
May 8, 2002 - October 23, 2002
CITIZENS SECURITIES, INC.
April 28, 1997 - December 31, 2000
MBSC, LLC
January 10, 1997 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
September 15, 1994 - January 10, 1997
SIGNATOR FINANCIAL SERVICES, INC.
September 13, 1993 - August 22, 1994
CETERA WEALTH SERVICES, LLC
November 15, 1988 - November 3, 1992
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
