AdFi
JP

Joanna Pauline Guinn

Investment Adviser Representative at ASSOCIATED INVESTMENT SERVICES, INC.

Appleton, WICRD #5061921Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
3 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
IllinoisMinnesotaWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/10/2008
Series 63
Uniform Securities Agent State Law Examination
Passed 3/23/2007
Series 99
Operations Professional Examination
Passed 1/10/2025
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/1/2008
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/28/2006
Series 53
Municipal Securities Principal Examination
Passed 9/8/2009
Series 24
General Securities Principal Examination
Passed 5/22/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Associated Investment Services, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ASSOCIATED INVESTMENT SERVICES, INC.Current
5/8/2017Appleton, WI
INVESTMENT CENTERS OF AMERICA, INC.
9/5/20122/23/2017Appleton, WI
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)
9/5/20122/23/2017Los Angeles, CA
SII INVESTMENTS, INC.
9/5/20122/23/2017Appleton, WI
THRIVENT INVESTMENT MANAGEMENT INC.
3/28/20075/31/2012Appleton, WI

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at ASSOCIATED INVESTMENT SERVICES, INC.

Showing 12 of 44 in the directory

View ASSOCIATED INVESTMENT SERVICES, INC. firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joanna Pauline Guinn has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Joanna Pauline Guinn - Financial Advisor in Appleton, WI | AdvisorFinder