Joanne R. Provencher
Professional summary
Joanne Rebelle Lucy Provencher, who also goes by Joanne Provencher Curry Mrs, Joanne Lucy Rebelle Provencher, Joanne Rebelle Lucy Provencher Ms, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Joanne is registered as a RR (Registered Representative) and started their career in finance in 2000. Joanne has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joanne Rebelle Lucy Provencher's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 15, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 15, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 15, 2015 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
August 31, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 30, 2015 - July 9, 2015
E*TRADE SECURITIES LLC
August 2, 2000 - April 3, 2009
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2015)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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