JP
Joan A. Payden
PAYDEN & RYGEL
LOS ANGELES, CA 90071
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CRD#: 358476
JP
Professional summary
Joan Ann Payden is a registered financial advisor currently at PAYDEN & RYGEL located in Los Angeles, California and PAYDEN & RYGEL DISTRIBUTORS located in Los Angeles, California.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1965. Joan has worked at 3 firms and has passed the Series 63, SIE, Series 6, Series 3, Series 1 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Joan Ann Payden's 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®
NoneExperience
Current
March 10, 1987 - Present
PAYDEN & RYGEL
Office #1: 333 S. Grand Avenue, Los Angeles, CA 90071RIA
CRD#: 107160
LOS ANGELES, CA
Current
August 24, 1992 - Present
PAYDEN & RYGEL DISTRIBUTORS
Office #1: 333 South Grand Avenue 39th Fl., Los Angeles, CA 90071-1536Office #2: 333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536BD
CRD#: 29868
Los Angeles, CA
Past
March 5, 1965 - October 19, 1983
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
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".
P&
PAYDEN & RYGEL
PAYDEN & RYGEL | PAYDEN & RYGEL DISTRIBUTORS (BD ONLY)
CRD#: 107160 / SEC#: 801-19762
RIA
Registered Investment Advisory firm - (9/8/1983 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/5/1993)
RR
Alaska(8/25/1992)
RR
Arizona(11/10/1992)
RR
Arkansas(5/24/1993)
RR
California(8/25/1992)
IAR
California(11/4/2002)
RR
Colorado(8/25/1992)
RR
Connecticut(8/27/1992)
RR
Delaware(8/12/1992)
RR
District of Columbia(4/16/1992)
RR
Florida(10/14/1992)
RR
Georgia(9/9/1992)
RR
Hawaii(11/18/1992)
RR
Idaho(9/16/1992)
RR
Illinois(11/8/2010)
RR
Indiana(9/1/1992)
RR
Iowa(8/27/1992)
RR
Kansas(8/26/1992)
RR
Kentucky(6/1/1992)
RR
Louisiana(10/22/1992)
RR
Maine(8/27/1992)
RR
Maryland(9/8/1992)
RR
Massachusetts(8/26/1992)
RR
Michigan(2/8/1993)
RR
Minnesota(9/1/1992)
RR
Mississippi(8/26/1992)
RR
Missouri(10/9/1992)
RR
Montana(9/4/1992)
RR
Nebraska(9/14/1992)
RR
Nevada(9/1/1992)
RR
New Hampshire(8/12/1992)
RR
New Jersey(11/24/1992)
RR
New Mexico(9/2/1992)
RR
New York(8/12/1992)
RR
North Carolina(8/27/1992)
RR
North Dakota(10/27/1992)
RR
Ohio(9/22/1992)
RR
Oklahoma(9/15/1992)
RR
Oregon(9/1/1992)
RR
Pennsylvania(8/31/1992)
RR
Puerto Rico(11/14/2012)
RR
Rhode Island(8/27/1992)
RR
South Carolina(9/3/1992)
RR
South Dakota(8/28/1992)
RR
Tennessee(8/28/1992)
RR
Texas(5/4/1992)
RR
Utah(8/12/1992)
RR
Vermont(5/2/1995)
RR
Virginia(11/24/1992)
RR
Washington(8/26/1992)
RR
West Virginia(11/30/1992)
RR
Wisconsin(8/28/1992)
RR
Wyoming(9/11/1992)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/2/1959
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
P&
PAYDEN & RYGEL
PAYDEN & RYGEL | PAYDEN & RYGEL DISTRIBUTORS (BD ONLY)
CRD#: 107160 / SEC#: 801-19762
RIA
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Contact information
Main Address
333 S. Grand Avenue 40th Floor, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 625-1900
Established
Firm type
Fiscal year end
# of Employees
190
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 866 |
| AUM (Assets Under Management) | $ 150,947,495,804 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
