Joann J. Mackenzie

SERENITY INVESTMENT ADVISORS

Chicago, IL 60604

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CRD#: 316133

Professional summary

Joann Joyce Mackenzie, who also goes by Joann Joyce Paplaski, is a registered financial advisor currently at SERENITY INVESTMENT ADVISORS located in Chicago, Illinois.

Joann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Joann has worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joann Joyce Paplaski

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MRS. MACKENZIE IS BOARD MEMBER OF CORRALES ART CENTER LOCATED AT 4720 CORRALES ROAD- CORRALES NM 87048. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 10-40% OF HER WEEKLY TIME DURING MARKET HOURS. NO COMP AT THIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joann Joyce Mackenzie's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 17, 2025 - Present

SERENITY INVESTMENT ADVISORS

Office #1: 333 S. Wabash Ave. Suite 2700, Chicago, IL 60604

RIA

CRD#: 307924

Chicago, IL

Past

May 23, 2008 - June 13, 2025

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

PLACITAS, NM

Past

April 30, 2008 - June 13, 2025

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

PLACITAS, NM

Past

April 17, 2008 - April 17, 2008

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

WALTHAM, MA

Past

April 17, 2008 - April 17, 2008

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 6, 2001 - June 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 29, 1999 - April 22, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

CLAYTON, MO

Past

June 1, 1998 - April 22, 2008

OSAIC FA, INC.

CRD#: 3978

CLAYTON, MO

Past

July 17, 1974 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SERENITY INVESTMENT ADVISORS

ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS

CRD#: 307924 / SEC#: 801-123727

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/17/2025)

IAR

Colorado
(6/17/2025)

IAR

Florida
(7/18/2025)

IAR

Illinois
(6/18/2025)

IAR

New Mexico
(6/17/2025)

IAR

North Carolina
(6/18/2025)

IAR

Wisconsin
(6/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/16/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 7/12/1974

General Securities Principal Examination

Current Firm

SERENITY INVESTMENT ADVISORS

ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS

CRD#: 307924 / SEC#: 801-123727

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2022 Terminated)

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Contact information

Main Address

333 S. Wabash Ave. Suite 2700, Chicago, IL 60604

Mailing Address

Phone number

(312) 734-1415

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SERENITY INVESTMENT ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	396
AUM (Assets Under Management)	$ 375,958,274

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.

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Advisor Monitoring

Firm Stability Insights

Joann J. Mackenzie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joann Joyce Mackenzie's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

SERENITY INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/1979

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 24

Date: 1/2/2023

Series 00

Date: 7/12/1974

Current Firm

SERENITY INVESTMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERENITY INVESTMENT ADVISORS

TRUST BUT VERIFY

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