Janice M. Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Janice Minneci Moore, who also goes by Janice Minneci Feola, Janice M Moore, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1981. Janice had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1998 - October 21, 1999
LEWIS & CLARK SECURITIES, INC.
October 30, 1998 - March 20, 2000
INVESTMENT CENTERS OF AMERICA, INC.
October 26, 1998 - December 31, 2014
INVEST FINANCIAL CORPORATION
October 26, 1998 - December 31, 2014
INVEST FINANCIAL CORPORATION
July 31, 1993 - October 30, 1998
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 17, 1981 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/4/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEWIS & CLARK SECURITIES, INC.
CRD#: 22687 / SEC#: , 8-39930
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | OWNER - LEWIS & CLARK SECURITIES, INC. | 12984 |
| BLAGOJEVICH, ROBERT R | CHAIRMAN | 1335437 |
| GUNDERSON, GERRY A | SVP/GENERAL COUNSEL | 2448501 |
| GUNDERSON, THOMAS EVAN | PRESIDENT/COO | 232008 |
| PRICE, MARY CORNELIA | SECRETARY | |
| WARD, GARY JAMES | FNOP | 2872618 |
| WILLIAMSON, DEBRA ELAINE | CHIEF COMPLIANCE OFFICER/SVP/SROP/CROP | 1770999 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
