Janis L. Arnold

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CRD#: 1023380

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.

Janis Louise Arnold was a registered financial professional .

Janis is a previously registered financial professional and started their career in finance in 1982. Janis had worked at 5 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 8, 2021 - January 3, 2023

INGALLS & SNYDER, LLC

RIA

CRD#: 2288

NEW YORK, NY

Past

September 30, 1998 - January 3, 2023

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Past

March 4, 1998 - September 15, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 2, 1989 - December 10, 1997

E.A. MOOS & CO. L.P.

CRD#: 7606

SUMMIT, NJ

Past

July 27, 1984 - October 4, 1989

NASSAU SECURITIES, INC.

CRD#: 14302

NEW YORK, NY

Past

March 1, 1982 - April 8, 1983

PERSHING LLC

CRD#: 7560

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1982

General Securities Representative Examination

Current Firm

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Mailing Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Phone number

(212) 269-7800

Established

New York since 01/02/1996

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INGS_BROCHURE_05152025 (5/16/2025)

Direct owners and executive officers

Name	Position	CRD#
I&S GROUP, LLC	PARENT HOLDING COMPANY
BOUCHER, THOMAS ONEIL JR	MANAGING DIRECTOR	730430
CASE, ROBERT ANTHONY	CHIEF EXECUTIVE OFFICER	1367765
CASE, ROBERT ANTHONY	SENIOR MANAGING DIRECTOR	1367765
DOUGHERTY, JOHN JOSEPH	MANAGING DIRECTOR	1960029
GARRISON, APHRODITE MAVRICOS	MANAGING DIRECTOR	1763811
GRISANTI, ADAM F	EXECUTIVE DIRECTOR	4413657
GRISANTI, ADAM F	CHIEF OPERATIONS OFFICER	4413657
GRISANTI, ADAM F	CHIEF FINANCIAL OFFICER	4413657
JANOVIC, ADAM DAVID	MANAGING DIRECTOR	1521203
LANE-ZUCKER, KEITH SIMON	MANAGING DIRECTOR	4050531
MCLEAN, ALICE BARZUN	MANAGING DIRECTOR	4477581
MEEHAN, SEAN PATRICK	MANAGING DIRECTOR	5033839
PARK, CHRISTIAN CHIHONG	EXECUTIVE DIRECTOR	3106787
PARK, CHRISTIAN CHIHONG	CHIEF COMPLIANCE OFFICER	3106787
RIEGEL, GUY RICHARDS	MANAGING DIRECTOR	1050269
THATCHER, JAMES EDWIN	MANAGING DIRECTOR	5872101
WESTON, CHRISTINE ELIZABETH	MANAGING DIRECTOR	1136404

Regulatory assets under management

Total Number of Accounts	4,189
AUM (Assets Under Management)	$ 6,897,915,721

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/22/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Janis L. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INGALLS & SNYDER, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E.A. MOOS & CO. L.P.

NASSAU SECURITIES, INC.

PERSHING LLC

Primary Firm SEC Registration

INGALLS & SNYDER, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1982

Current Firm

INGALLS & SNYDER, LLC

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

INGALLS & SNYDER, LLC

TRUST BUT VERIFY

Contact information

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