Joan A. Perry
Professional summary
Joan Anne Perry was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joan is a previously registered financial advisor and started their career in finance in 1979. Prior to being barred, Joan had worked at 4 firms, which includes TAKE CHARGE FINANCIAL, ALEX. BROWN & SONS INCORPORATED, CMS INVESTMENT RESOURCES LLC, ELKINS & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - July 16, 2012
TAKE CHARGE FINANCIAL
May 9, 1986 - August 23, 2012
TAKE CHARGE FINANCIAL
July 15, 1983 - July 10, 1985
ALEX. BROWN & SONS INCORPORATED
July 22, 1982 - September 30, 1982
CMS INVESTMENT RESOURCES, LLC
March 20, 1979 - September 17, 1981
ELKINS & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TAKE CHARGE FINANCIAL
CRD#: 16724 / SEC#: , 8-34543
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERRY, JOAN ANNE | PRESIDENT/CFO/FINOP/SROP/CROP/CCO | 502847 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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