Joan FaulknerCRD Number: 1348334
Current Firm: Ubs Financial Services Inc.
Joan Faulkner (CRD# 1348334) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Miamisburg, OH and has over 14 years of experience in the finance industry.
Sound Financial Investment Management, LLC
Raymond James & Associates, Inc.
Greenrock Advisory LLC
|Ubs Financial Services Inc.||Dayton, OH||Aug 2000 - Current||17|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2003|
Total Assets Under Management391,710MILLIONS
Total Number of Accounts885,967ACCOUNTS
Average Account Value$442,127
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV