Joan E. Marshall

WAGENER-LEE

Columbia, MD 21044

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CRD#: 6593052

Professional summary

Joan Eileen Marshall, CFP®, who also goes by Joan Eileen Leming, Joan Leming Marshall, is a registered financial advisor currently at WAGENER-LEE, LLC located in Columbia, Maryland.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Joan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan Eileen Leming | Joan Leming Marshall

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) Name of Business: Wagener Lee Address: 5950 Symphony Woods Rd Ste 412, Columbia, MD, 21044, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/01/2018 Hours per month devoted to this business: 81+Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide financial planning services for clients and other administrative tasks

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Eileen Marshall'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

November 6, 2017 - Present

WAGENER-LEE, LLC

Office #1: 5950 Symphony Woods Road Suite 412, Columbia, MD 21044

RIA

CRD#: 136002

Columbia, MD

Past

June 14, 2016 - November 4, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

COLUMBIA, MD

Past

April 4, 2016 - November 4, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COLUMBIA, MD

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(11/6/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/7/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2016

General Securities Representative Examination

Current Firm

WAGENER-LEE, LLC

WAGENER-LEE WEALTH ADVISORS | WAGENER-LEE, LLC

CRD#: 136002 / SEC#:

Maryland

Registered Investment Advisory firm - (1/1/2006 Approved)

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Contact information

Main Address

5950 Symphony Woods Road Suite 412, Columbia, MD 21044

Mailing Address

Phone number

(443) 276-9595

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Joan E. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Eileen Marshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAGENER-LEE, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2016

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2016

Current Firm

WAGENER-LEE, LLC

Contact information

Documents

Red Flags

Company Information

WAGENER-LEE, LLC

TRUST BUT VERIFY

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