Eileen J. Fern
Professional summary
Eileen Jean Fern was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eileen is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Eileen had worked at 7 firms, which includes INDEPENDENCE CAPITAL CO. INC., WRP INVESTMENTS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., WALNUT STREET SECURITIES INC., INDEPENDENCE CAPITAL CORPORATION, 1717 CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2011 - February 24, 2012
INDEPENDENCE CAPITAL CO., INC.
June 2, 1997 - August 4, 2011
WRP INVESTMENTS, INC.
June 12, 1992 - May 20, 1997
INDEPENDENCE CAPITAL CO., INC.
February 8, 1991 - June 19, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 8, 1991 - June 19, 1992
SIGNATOR INVESTORS, INC.
May 3, 1988 - February 6, 1991
WALNUT STREET SECURITIES, INC.
June 4, 1985 - May 3, 1988
INDEPENDENCE CAPITAL CORPORATION
December 3, 1982 - June 12, 1985
1717 CAPITAL MANAGEMENT COMPANY
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
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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