Janice L. Goldman Picker
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 Lynn Goldman Picker, who also goes by Jan Lynn Goldman, Jan Goldman, Janice Lynn Goldman, Janice Lynn Goldmanmrak, Janice Lynn Goldman Mrak, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1983. Janice had worked at 9 firms and has passed the Series 65, 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
November 20, 2009 - September 6, 2011
SECURITIES AMERICA, INC.
October 2, 2009 - October 29, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2009 - October 29, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 2007 - October 30, 2009
HOWE BARNES CAPITAL MANAGEMENT, INC.
February 15, 2007 - October 30, 2009
HOWE BARNES HOEFER & ARNETT, INC.
February 3, 2003 - March 13, 2007
CITIGROUP GLOBAL MARKETS INC.
February 3, 2003 - March 13, 2007
CITIGROUP GLOBAL MARKETS INC.
January 3, 1998 - February 12, 2003
MESIROW FINANCIAL, INC.
August 15, 1996 - February 12, 2003
MESIROW FINANCIAL, INC.
September 30, 1993 - August 21, 1996
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1993 - October 6, 1993
HAMILTON INVESTMENTS, INC.
August 24, 1983 - May 5, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
