Joan Higgins Cleveland

Employer firm

Swbc Investment Company CRD 140994

$256M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → Present
  Swbc Investment Services Llc
  San Antonio, TX
• 03/2013 → Present
  Swbc Investment Company
  San Antonio, TX

Previous Registrations

• 2005-05-11 → 2013-03-20
  Pruco Securities, Llc.
  Newark, NJ
  Newark, NJ

Other Businesses

1)SWBC LIFE INSURANCE CO., PRESIDENT/CEO, LIFE INSURANCE SALES AND MANAGEMENT, 160 HOURS/MONTH; 2)CHAIRMAN,CONSUMER CREDIT INDUSTRY ASSOCIATION, ATLANTA, GA, 1HR/WEEK, NOT INVESTMENT RELATED; 3)BOARD MEMBER/SECRETARY,TEXAS ASSOCIATION OF LIFE AND HEALTH INSURERS, AUSTIN, TX, 2HR/WEEK, NOT INVESTMENT RELATED 4)AMERICAN BANKERS INSURANCE ASSOCIATION BOARD MEMBER, WASHINGTON, DC, 2HR/WEEK, NOT INVESTMENT RELATED, 5)PRESIDENT, HIGH COUNTRY RANCH HOA, SAN ANTONIO, TX, 0.25 HR/WEEKK, NOT INVESTMENT RELATED; 6)GOVERNING BOARD MEMEBER, MAKE A WISH OF CENTRAL AND SOUTH TEXAS, AUSTIN, TX 2HR/WEEK;

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-05-19
• S63 Uniform Securities Agent State Law Examination
  1994-04-14

Designations

• Chartered Financial Consultant

Other Names

• Joan Higgins Foster
• Joan Golden
• Joan Foster
• Joan H Foster