Joann J. Mackenzie
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.
Joann Joyce Mackenzie, who also goes by Joann Joyce Paplaski, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 1974. Joann had worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2025 - December 10, 2025
SERENITY INVESTMENT ADVISORS
May 23, 2008 - June 13, 2025
PROSPERA FINANCIAL SERVICES, INC.
April 30, 2008 - June 13, 2025
PROSPERA FINANCIAL SERVICES, INC.
April 17, 2008 - April 17, 2008
COMMONWEALTH FINANCIAL NETWORK
April 17, 2008 - April 17, 2008
COMMONWEALTH FINANCIAL NETWORK
November 6, 2001 - June 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 29, 1999 - April 22, 2008
OSAIC FA, INC.
June 1, 1998 - April 22, 2008
OSAIC FA, INC.
July 17, 1974 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
SERENITY INVESTMENT ADVISORS
CRD#: 307924 / SEC#: 801-123727
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: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 00
Date: 7/12/1974
General Securities Principal ExaminationCurrent Firm
SERENITY INVESTMENT ADVISORS
CRD#: 307924 / SEC#: 801-123727
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 396 |
| AUM (Assets Under Management) | $ 375,958,274 |
Red Flags
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