Joanne Gautrau is a registered investment advisor, based in Wilton, CT, with 30 years of industry experience.
Location
195 Danbury Road, Suite 140, Wilton, CT, 06897
Get directionsHistory
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.
Learn about disclosures →Other Business Activities
Joanne provides administrative support to Merit Financial Advisors, LLC, an independent investment advisor firm. This activity takes up Joanne's full-time work hours.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2024 - Present · 1 yr 9 mos
Merit Financial Advisors
December 2023 - Present · 2 yrs 5 mos
Previous Registrations
LPL Financial LLCBroker
December 2023 - August 2024 · 8 mos
Essex Financial Services, INC.
September 2022 - November 2023 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2003 - September 2022 · 19 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1999 - September 2022 · 23 yrs 2 mos
Janney Montgomery Scott INC.Broker
December 1995 - September 1999 · 3 yrs 9 mos
Painewebber IncorporatedBroker
August 1995 - December 1995 · 4 mos
Gruntal & CO. IncorporatedBroker
November 1993 - April 1994 · 5 mos
State Registrations1 state
CT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.