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Joseph Maillard

Edward Jones

Tucson, AZ

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-08
AZ RA APPROVED 2023-08-24
  • TX RA
    APPROVED
    Since 2023-11-08
  • AZ RA
    APPROVED
    Since 2023-08-24

Branch Locations

7391 E Tanque Verde Rd, Tucson, AZ 85715-3475 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
December Ventures, Llc Vail AZ 09/2009 03/2020
La Serpe Asset Management, Llc Vail AZ 03/2020 06/2023
Edward Jones St. Louis MO 06/2023 Present
  • 09/2009 → 03/2020
    December Ventures, Llc
    Vail, AZ
  • 03/2020 → 06/2023
    La Serpe Asset Management, Llc
    Vail, AZ
  • 06/2023 → Present
    Edward Jones
    St. Louis, MO
Previous Registrations
  • 2020-05-14 → 2023-06-21
    La Serpe Asset Management, Llc
    Vail, AZ
  • 2020-05-14 → 2022-12-31
    La Serpe Asset Management, Llc
    Vail, AZ
  • 2020-05-14 → 2020-12-31
    La Serpe Asset Management, Llc
    Vail, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-22
S65 Uniform Investment Adviser Law Examination 2019-09-09
  • S66 Uniform Combined State Law Examination
    2023-08-22
  • S65 Uniform Investment Adviser Law Examination
    2019-09-09

View on SEC IAPD

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Other Investors

MARTIN ANTHONY SMITH
ALEXANDER DEVEREAUX PARRS
ROBIN RODGERS DOLEZAL
DARREN GRANT HESSELINK
DANIEL SHAY NENTL
DAVID A. NIICHEL
EMILY MARIE Delgado
DAVID CUNNINGHAM RENZI

Other Offices

IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
EDWARD JONES · TUCSON, AZ
FINANCIAL DIRECTIONS LLC · TUCSON, AZ

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