Joleen Mainz, financial advisor Rochester MN
96 score

Joleen Mainz

CRD Number: 1232857
Current Firm: Park Avenue Securities LLC

Joleen Mainz (CRD# 1232857) is an Investment Advisor Representative working at Park Avenue Securities LLC in Rochester, MN and has over 32 years of experience in the finance industry. Joleen Mainz 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
Guardian Life Insurance Company New York, NY May 2000 - Current 16
American United Life Insurance Company Rochester, MN May 1999 - Current 17
Aul Equity Sales Corp. Rochester, MN May 1999 - Current 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Joleen H. Mainz
Phone Number: 1-888-600-4667
Registered State(s):
  • AZ
  • PA
  • MN
By the Numbers
  • Total Assets Under Management
    6,646
    MILLIONS
  • Total Number of Accounts
    39,311
    ACCOUNTS
  • Average Account Value
    $169,065
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, 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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