Joan O. Conan
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 Obrien Conan, who also goes by Joan Obrien Addabbo, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1969. Joan had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 1992 - April 6, 1993
HERZOG, HEINE, GEDULD, LLC
May 14, 1983 - April 19, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
September 21, 1977 - November 7, 1977
SHEARSON HAYDEN STONE INC.
May 13, 1977 - August 18, 1977
MOSELEY, HALLGARTEN & ESTABROOK INC
December 24, 1974 - June 3, 1977
A. G. BECKER INCORPORATED
May 9, 1973 - November 25, 1975
A G BECKER & CO INCORPORATED
July 19, 1972 - June 29, 1973
E. F. HUTTON & COMPANY INC
June 16, 1969 - June 26, 1972
DREXEL FIRESTONE INC
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 1
Date: 5/13/1966
Registered Representative ExaminationCurrent Firm
HERZOG, HEINE, GEDULD, LLC
CRD#: 2186 / SEC#: , 8-10463
Contact information
Documents
Disclosures
| Regulatory Event | 51 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
