Joan M. Caine

PARSONS CAPITAL MANAGEMENT

Providence, RI 02903

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CRD#: 7271888

Professional summary

Joan Marie Caine, who also goes by Joan Marie Crowley, is a registered financial advisor currently at PARSONS CAPITAL MANAGEMENT INC located in Providence, Rhode Island.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Joan has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan Marie Crowley

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.

Lifespan Investment Committee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Marie Caine's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 9, 2020 - Present

PARSONS CAPITAL MANAGEMENT INC

Office #1: 40 Westminster Street, Ste 400, Providence, RI 02903

RIA

CRD#: 106295

Providence, RI

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".

PARSONS CAPITAL MANAGEMENT INC

CRD#: 106295 / SEC#: 801-45209

RIA

Registered Investment Advisory firm - (11/23/1993 Approved)

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

Rhode Island
(7/9/2020)

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

Current Firm

PARSONS CAPITAL MANAGEMENT INC

CRD#: 106295 / SEC#: 801-45209

RIA

Registered Investment Advisory firm - (11/23/1993 Approved)

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Contact information

Main Address

40 Westminster Street, Ste 400, Providence, RI 02903

Mailing Address

Phone number

(401) 521-2440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,864
AUM (Assets Under Management)	$ 2,094,653,633

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/07/2025	Cover Page	Report
10/22/2024	Cover Page	Report
08/25/2023	Cover Page	Report
09/29/2022	Cover Page	Report

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.

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Joan M. Caine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Marie Caine's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARSONS CAPITAL MANAGEMENT INC

Primary Firm SEC Registration

PARSONS CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Current Firm

PARSONS CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PARSONS CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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