Joanna G. Mullally
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.
Joanna Greener Mullally, who also goes by Joanna Greener, Joanna Greener Mullaly, was a registered financial professional .
Joanna is a previously registered financial professional and started their career in finance in 2007. Joanna had worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - December 9, 2013
LNW
August 1, 2007 - August 17, 2009
UBS FINANCIAL SERVICES INC.
July 19, 2007 - August 17, 2009
UBS FINANCIAL SERVICES INC.
January 9, 2007 - June 4, 2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Primary Firm SEC Registration
LNW
CRD#: 113400 / SEC#: 801-60345
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
LNW
CRD#: 113400 / SEC#: 801-60345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,463 |
| AUM (Assets Under Management) | $ 4,526,284,775 |
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.
