Joan Fisler, financial advisor Deep River CT
96 score

Joan Fisler

CRD Number: 4471581
Current Firm: Citizens Securities, Inc.

Joan Fisler (CRD# 4471581) is an Investment Advisor Representative working at Citizens Securities, Inc. in Deep River, CT and has over 14 years of experience in the finance industry. Joan Fisler has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cco Investment Services Corp Colchester, CT Jan 2014 - Current 2
Lpl Financial Charlotte, NC May 2011 - Jan 2014 2
First Niagara Securities Woodbridge, CT May 2011 - Jan 2014 2
Newalliance Investments, Inc. New Ahven, CT Jun 2009 - May 2011 1
Collective Financial Services, LLC Guilford, CT Apr 2008 - Jun 2009 1
Diastole Wealth Management Guilford, CT Nov 2007 - Jun 2009 1
Investacorp., Inc. Miami Lakes, FL Apr 2003 - Nov 2007 4
Investacorp Advisory Services, Inc. Miami Lakes, FL Apr 2003 - Nov 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2002
S65 NASAA Investment Advisors Law Examination Sep 2002
Contact Info for Joan M. Fisler
Phone Number: 1-800-942-8300
Registered State(s):
  • CT
  • IL
  • ME
  • FL
By the Numbers
  • Total Assets Under Management
    27,379
    MILLIONS
  • Total Number of Accounts
    19,253
    ACCOUNTS
  • Average Account Value
    $1,422,068
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KY, LA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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