Janice A. Carnicelli
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 Ann Carnicelli, who also goes by Janice A Carey, Janice Ann Carey, Janice Carey, Janice Carey Carnicelli, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1982. Janice had worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - December 7, 2020
NUVEEN SECURITIES, LLC
September 8, 2008 - September 27, 2019
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 1, 2004 - September 18, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 1, 2001 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 24, 2000 - February 5, 2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
June 8, 1988 - September 5, 2000
LEXINGTON FUNDS DISTRIBUTOR, INC.
September 5, 1986 - January 5, 1988
YORK SECURITIES, INC.
July 9, 1986 - October 8, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
July 19, 1982 - July 9, 1986
LORD ABBETT DISTRIBUTOR LLC
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 7TO
Date: 10/2/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/2/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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