Joan D. Levine
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 Dolores Levine, who also goes by Joan Dolores Fichtenmayer, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1973. Joan had worked at 5 firms and has passed the PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2011 - March 23, 2012
MONARCH FINANCIAL CORPORATION OF AMERICA
August 2, 2010 - October 7, 2010
MONARCH FINANCIAL CORPORATION OF AMERICA
January 21, 2009 - October 6, 2010
WESTROCK ADVISORS, INC.
September 21, 2005 - March 11, 2008
CANACCORD GENUITY SECURITIES LLC
March 28, 1974 - January 27, 2005
LADENBURG THALMANN & CO. INC.
November 20, 1973 - May 4, 1974
SCHRODER & CO. 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
Exams
PC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 11/15/1973
Registered Representative ExaminationSeries 8
Date: 9/21/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MONARCH FINANCIAL CORPORATION OF AMERICA
CRD#: 23437 / SEC#: , 8-40433
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
