Joan M. Nelson
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 Marie Nelson, who also goes by Joan Marie Moran, Joan Marie Nelson, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1993. Joan had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2016 - September 11, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 22, 2016 - September 11, 2017
BBVA SECURITIES INC.
December 6, 2007 - June 3, 2016
CITIZENS SECURITIES, INC.
December 6, 2007 - June 3, 2016
CITIZENS SECURITIES, INC.
January 3, 2006 - December 17, 2007
CETERA INVESTMENT SERVICES LLC
January 1, 2005 - November 20, 2007
BANCNORTH INVESTMENT GROUP, INC.
December 3, 2003 - December 31, 2005
CETERA INVESTMENT SERVICES LLC
September 12, 2003 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
April 10, 2003 - November 14, 2003
MML INVESTORS SERVICES, LLC
April 30, 2002 - May 21, 2002
CHITTENDEN SECURITIES, LLC.
October 13, 1999 - May 21, 2002
CHITTENDEN SECURITIES, LLC.
November 10, 1998 - October 19, 1999
BB&T INVESTMENT SERVICES, INC.
October 1, 1997 - November 6, 1998
OSAIC FS, INC.
May 9, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 10, 1993 - November 30, 1994
MML INVESTORS SERVICES, LLC
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
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
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.
