Jan E. Hempel
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.
Jan Elizabeth Hempel, who also goes by Jan Elizabeth Gronholz, Jane E Gronholz, Jan Gronholz Harms, Jan Elizabeth Gronholz Hempel, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1984. Jan had worked at 10 firms and has passed the Series 63, Series 7, Series 53, Series 4 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
Experience
May 20, 1997 - October 29, 1999
FIRST AMERICAN SECURITIES, INC.
May 1, 1996 - July 25, 1996
MILLER JOHNSON STEICHEN KINNARD, INC.
March 14, 1994 - September 15, 1994
BROWNCO, LLC
January 22, 1993 - October 20, 1993
TRUSTED SECURITIES ADVISORS CORP.
June 28, 1991 - September 10, 1992
LPL FINANCIAL LLC
June 2, 1988 - August 1, 1989
HAYNE, MILLER FINANCIAL, INC.
February 2, 1988 - June 21, 1988
HEINER FINANCIAL SERVICES CORPORATION
September 13, 1984 - May 19, 1986
IRI SECURITIES CORPORATION
August 16, 1984 - June 16, 1988
HEINER & STOCK, INC.
June 20, 1984 - August 20, 1984
VAN CLEMENS & CO. 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
FIRST AMERICAN SECURITIES, INC.
CRD#: 35841 / SEC#: 801-61017, 8-47094
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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