Julianne Cruz
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.
Julianne Cruz, CFP®, who also goes by Julianne Brandley, was a registered financial professional .
Julianne is a previously registered financial professional and started their career in finance in 1984. Julianne had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
July 5, 2016 - May 3, 2024
RETIREMENT PLANNERS OF AMERICA
February 20, 2015 - February 26, 2016
LPL FINANCIAL LLC
February 20, 2015 - February 26, 2016
LPL FINANCIAL LLC
November 5, 2010 - February 20, 2015
ZIONS DIRECT, INC.
April 5, 2010 - February 20, 2015
ZIONS CAPITAL ADVISORS, INC.
April 5, 2010 - April 30, 2010
ZIONS DIRECT, INC.
November 13, 2006 - March 26, 2010
CETERA INVESTMENT SERVICES LLC
November 9, 2006 - March 26, 2010
CETERA INVESTMENT SERVICES LLC
March 8, 2004 - November 9, 2006
DFC INVESTOR SERVICES
October 16, 2003 - November 9, 2006
DFC INVESTOR SERVICES
March 16, 2000 - July 29, 2003
CITY NATIONAL SECURITIES, INC.
November 7, 1995 - February 25, 2000
MOMENTUM INDEPENDENT NETWORK INC.
December 21, 1992 - March 24, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 17, 1991 - December 14, 1992
SEAFIRST INVESTMENT SERVICES, INC.
February 4, 1987 - December 23, 1992
BA INVESTMENT SERVICES, INC.
April 18, 1984 - December 23, 1992
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
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
Series 8
Date: 8/31/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,760 |
| AUM (Assets Under Management) | $ 3,975,227,271 |
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.
