Jacqueline S. Leblanc
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.
Jacqueline Sue Leblanc, who also goes by Jackie Greenfield Dennis, Jackie Sue Dennis, Jacqueline Sue Dennis, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1984. Jacqueline had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2000 - May 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2000 - May 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 1996 - July 22, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
June 1, 1995 - July 1, 1996
SOUTHTRUST SECURITIES, LLC
February 6, 1995 - June 5, 1995
SOUTHTRUST INVESTMENT SERVICES, INC.
March 5, 1990 - February 6, 1995
FIRST UNION BROKERAGE SERVICES, INC.
October 2, 1986 - April 5, 1990
FLORIDA NATIONAL INVESTMENT SERVICES, INC.
October 9, 1985 - July 8, 1986
BLACKSTOCK & CO., INC.
February 26, 1985 - September 9, 1985
JII SECURITIES INC.
May 23, 1984 - January 31, 1985
BUTCHER & SINGER INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
