Janine Abad
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.
Janine Abad, who also goes by Yanin Abad, was a registered financial professional .
Janine is a previously registered financial professional and started their career in finance in 1985. Janine had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2011 - April 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2011 - April 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2007 - September 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2007 - September 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2005 - August 1, 2007
UBS FINANCIAL SERVICES INC.
January 5, 2005 - August 1, 2007
UBS FINANCIAL SERVICES INC.
April 15, 2003 - May 25, 2004
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - May 7, 2004
OPPENHEIMER & CO. INC.
April 15, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 10, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 31, 1993 - August 30, 2001
CITIGROUP GLOBAL MARKETS INC.
November 7, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
January 8, 1990 - August 5, 1991
GLENFED BROKERAGE SERVICES
May 31, 1989 - November 13, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 23, 1985 - May 18, 1989
H.J. MEYERS & CO., INC.
June 12, 1985 - November 23, 1985
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
Series 7TO
Date: 6/24/2024
General Securities Representative ExaminationSeries 8
Date: 9/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
