Joanne C. Mccranie
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 Christine Mccranie, who also goes by Joanne Christine Mccabe, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1992. Joanne had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - February 16, 2016
SECURIAN FINANCIAL SERVICES, INC.
September 16, 2008 - July 27, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
April 21, 2004 - May 19, 2008
SECURITY DISTRIBUTORS
May 24, 2002 - February 2, 2004
CAPITAL BROKERAGE CORPORATION
December 31, 2000 - January 4, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 10, 1999 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
November 4, 1997 - June 1, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
November 27, 1996 - December 4, 1997
FIRST UNION BROKERAGE SERVICES, INC.
September 15, 1992 - December 21, 1994
COLONIAL INVESTMENT SERVICES
February 3, 1992 - July 10, 1992
ROBERTSON, STEPHENS & COMPANY 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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
