Janice B. Preston
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 Bess Preston, who also goes by Janice Bess Glaser, Janice Bess Turoff, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1994. Janice had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - September 3, 2019
SIMPLEX TRADING, LLC
January 7, 2011 - January 3, 2012
PENSON FINANCIAL SERVICES, INC.
June 7, 2005 - October 9, 2009
BELLEVUE CHICAGO, LLC
September 20, 2002 - August 21, 2006
SPIKE FINANCIAL SERVICES, LLC
October 12, 2000 - September 10, 2002
RUMSON CAPITAL, LLC
September 18, 2000 - November 13, 2000
LEGEND SECURITIES, INC.
November 2, 1994 - December 7, 1998
PREFERREDTRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIMPLEX TRADING, LLC
CRD#: 153585 / SEC#: , 8-68556
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
