JB
Joanne B. Burleson
UWHARRIE INVESTMENT ADVISORS
Albemarle, NC 28001
Some features on this profile are disabled
CRD#: 5704772
JB
Professional summary
Joanne B Burleson is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Albemarle, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Albemarle, North Carolina.
Joanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Joanne has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)UWHARRIE INVESTMENT ADVISORS, 132 N 1ST ST, PO BOX 1517, ALBEMARLE, NC 28002-1517. SECURITIES-RELATED; OPERATIONAL SUPPORT. START DATE 8/4/2009. 80 HOURS/MONTH DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Joanne B Burleson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 20, 2010 - Present
UWHARRIE INVESTMENT ADVISORS, INC.
Office #1: 132 North First Street, Albemarle, NC 28001RIA
CRD#: 117592
Albemarle, NC
Current
November 22, 2011 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 132 N. First St, Albemarle, NC 28001RIA
BD
CRD#: 120222
Albemarle, NC
Past
December 10, 2009 - November 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ALBEMARLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/21/2020)
RR
Arizona(1/31/2020)
RR
California(2/21/2020)
RR
Connecticut(10/23/2020)
RR
District of Columbia(2/21/2020)
RR
Florida(2/21/2020)
RR
Georgia(2/21/2020)
RR
Indiana(11/3/2021)
RR
Maine(2/21/2020)
RR
Maryland(2/21/2020)
RR
Michigan(5/15/2019)
RR
Minnesota(4/4/2022)
RR
New York(2/21/2020)
IAR
North Carolina(5/20/2010)
RR
North Carolina(11/22/2011)
RR
Ohio(2/21/2020)
RR
Pennsylvania(2/21/2020)
RR
South Carolina(2/21/2020)
RR
Tennessee(4/23/2025)
RR
Texas(7/24/2019)
RR
Virginia(1/3/2022)
RR
West Virginia(2/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
132 North First Street, Albemarle, NC 28001
Mailing Address
P.o. Box 1517, Albemarle, NC 28002
Phone number
(704) 983-5959
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 811 |
| AUM (Assets Under Management) | $ 278,247,352 |
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.
