Joann M. Jolly
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 Michelle Jolly, who also goes by Joann M Jolly, Joann Jolly, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 2000. Joann had worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2023 - July 31, 2024
CHARLES SCHWAB & CO., INC.
August 3, 2023 - July 31, 2024
CHARLES SCHWAB & CO., INC.
April 8, 2016 - June 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2016 - June 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2014 - November 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2014 - November 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 19, 2012 - August 28, 2013
EVERTRADE DIRECT BROKERAGE, INC.
March 9, 2012 - August 28, 2013
EVERBANK WEALTH MANAGEMENT
September 18, 2009 - August 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2009 - August 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 28, 2008 - April 1, 2009
SAXONY CAPITAL MANAGEMENT, LLC
July 28, 2008 - April 1, 2009
SAXONY SECURITIES, INC.
January 1, 2008 - July 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 19, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 15, 2004 - July 22, 2005
COMMERCE BROKERAGE SERVICES, INC.
June 10, 2004 - July 22, 2005
COMMERCE BROKERAGE SERVICES, INC.
March 31, 2004 - June 4, 2004
SCOTTRADE, INC.
July 2, 2002 - March 23, 2004
FFP ADVISORY SERVICES INC
May 31, 2000 - March 23, 2004
FFP SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 5/9/2001
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
