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Joan L Smaldone
JOAN LINDA CORDOVANO, JOAN LINDA SMALDONE, Joan Smaldone
CRD#: 1360389
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1001 Franklin Ave Ste 302
Garden City, NY 11530
Garden City, NY 11530
0
Disclosures
38
Years of Experience
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State Registrations
B
New York 5/12/2021
IA
New York 5/16/2021
SRO Registrations
B
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IA
Registered with this firm since 5/16/2021
B
Registered with this firm since 5/12/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/29/2019 - 06/03/2021 | GARDEN CITY, NY | |
B | 04/27/2018 - 06/03/2021 | GARDEN CITY, NY | |
B | 04/23/1985 - 08/04/2016 | WEEHAWKEN, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.