Janice A. Berthold
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 Annette Berthold, who also goes by Jan Berthold, Janice A Berthold, Janice Annette Notch, Janice Notch, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1983. Janice had worked at 8 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2004 - December 13, 2005
KESTRA INVESTMENT SERVICES, LLC
April 19, 2000 - April 30, 2002
NYLIFE SECURITIES LLC
December 24, 1997 - December 8, 1999
CETERA WEALTH SERVICES, LLC
April 27, 1994 - December 31, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
December 3, 1993 - August 10, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 3, 1993 - August 10, 1994
SIGNATOR INVESTORS, INC.
January 26, 1989 - September 22, 1993
NATIONWIDE SECURITIES, LLC
June 19, 1983 - April 4, 1989
AETNA LIFE INSURANCE AND ANNUITY 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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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