JN
JN

Joan Nowicki

29 Years of Experience
Boca Raton, FL
Broker

Joan Nowicki is a registered investment advisor at Wells Fargo Advisors, based in Boca Raton, FL, with 29 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

One Town Center Road, Suite 660, Boca Raton, FL, 33486

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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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Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
April 2023 - Present · 3 yrs 1 mo
Wells Fargo Advisors
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2014 - April 2023 · 9 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
January 2011 - April 2023 · 12 yrs 3 mos
Wells Fargo Investments, LLCBroker
November 2007 - January 2011 · 3 yrs 2 mos
UBS Financial Services INC.Broker
August 2006 - November 2007 · 1 yr 3 mos
Piper Jaffray & CO.Broker
August 2000 - August 2006 · 6 yrs
Dain Rauscher IncorporatedBroker
September 1998 - August 2000 · 1 yr 11 mos
Piper Jaffray INC.Broker
November 1996 - August 1998 · 1 yr 9 mos
State Registrations16 states
AZCACOFLGAINKYMNNDNYOHORPATXWIWY
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.