Joanne S. Ferrari
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 Susanna Ferrari, who also goes by Joanne Susanna Cervini, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1999. Joanne had worked at 1 firm and has passed the Series 63, Series 14, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1999 - July 23, 2014
WEEDEN & CO.L.P.
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 12
Date: 12/16/1999
NYSE Branch Manager ExaminationCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
