JC
ChFC
JC
ChFC

Joan Higgins Cleveland

30 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
14 advisors
Number of Clients
406 clients
Average Client Portfolio
$565K average
Assets Under Management
$229.2M

Fee Structure

Minimum Investment:$50K
Financial Planning:Investment management only
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Location

9311 San Pedro Avenue, Suite 600, San Antonio, TX, 78216-4459

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Joan is the President/CEO of SWBC Life Insurance Co., focusing on life insurance sales and management full-time. She also holds various board and leadership positions in industry associations and non-profit organizations, requiring minimal time commitments.

Employment History
Current Registrations
Swbc Investment Company
April 2013 - Present · 12 yrs 10 mos
Swbc Investment Services, LLCBroker
April 2013 - Present · 12 yrs 10 mos
Previous Registrations
Prudential Financial Planning Services
May 2005 - March 2013 · 7 yrs 10 mos
Pruco Securities, LLC.Broker
May 2005 - March 2013 · 7 yrs 10 mos
Terra Securities CorporationBroker
January 2004 - January 2005 · 1 yr
Capital Brokerage CorporationBroker
December 2000 - January 2004 · 3 yrs 1 mo
AXA Advisors, LLCBroker
March 1999 - December 2000 · 1 yr 9 mos
The Equitable Life Assurance Society of the United StatesBroker
March 1999 - January 2000 · 10 mos
Van Eck Securities CorporationBroker
October 1997 - December 1998 · 1 yr 2 mos
Ing America Equities, INC.Broker
August 1994 - October 1997 · 3 yrs 2 mos
State Registrations43 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMDMIMNMOMSMTNCNENJNMNVNYOHOKORPASCSDTNTXUTVAVTWIWV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.