Joanne F. Bagan
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 Fredell Bagan, who also goes by Joanne Patricia Fredell, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1995. Joanne had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 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
June 1, 2018 - September 26, 2025
CICC US SECURITIES, INC.
October 6, 2014 - October 19, 2017
BRADESCO SECURITIES, INC.
July 7, 2005 - May 20, 2014
DEUTSCHE BANK SECURITIES INC.
June 20, 2002 - July 6, 2005
J.P. MORGAN SECURITIES LLC
January 25, 2000 - December 4, 2001
GOLDMAN SACHS & CO. LLC
April 11, 1995 - January 27, 2000
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/22/2006
Limited Representative-Equity Trader ExamCurrent Firm
CICC US SECURITIES, INC.
CRD#: 143221 / SEC#: , 8-67544
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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