Joan B. Wills
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 Bartolomeo Wills, who also goes by Joan Bartolomeo, Joan Wills, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1996. Joan had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, 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
August 1, 2018 - March 1, 2021
PURSHE KAPLAN STERLING INVESTMENTS
November 16, 2012 - October 24, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 16, 2012 - October 24, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 1, 2011 - November 20, 2012
MORGAN STANLEY
August 5, 2011 - November 20, 2012
MORGAN STANLEY
April 3, 1996 - October 6, 1998
METROPOLITAN LIFE INSURANCE COMPANY
April 3, 1996 - October 6, 1998
MSI FINANCIAL SERVICES, 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
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
