Joan M. Mcclune
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.
Joan Mae Mcclune, who also goes by Joan Mae Mellon, Joan Mae Rodin, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 2000. Joan had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2016 - March 8, 2022
KESTRA ADVISORY SERVICES, LLC
January 15, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 15, 2016 - March 8, 2022
KESTRA INVESTMENT SERVICES, LLC
October 4, 2013 - January 15, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
October 4, 2013 - January 15, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
September 24, 2012 - October 8, 2013
PROSPERA FINANCIAL SERVICES, INC.
September 24, 2012 - October 8, 2013
PROSPERA FINANCIAL SERVICES, INC.
November 15, 2011 - August 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 26, 2007 - October 28, 2011
HERITAGE FINANCIAL ADVISORS, LLC
January 24, 2006 - August 6, 2007
SECURITIES AMERICA ADVISORS, INC.
January 11, 2006 - August 6, 2007
SECURITIES AMERICA, INC.
November 3, 2003 - January 13, 2006
OSAIC FA, INC.
August 6, 2003 - January 13, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 6, 2003 - January 13, 2006
OSAIC FA, INC.
April 30, 2003 - August 8, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 8, 2000 - April 30, 2003
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
