Jeffery C. Ganis
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.
Jeffery C Ganis was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 2006. Jeffery had worked at 7 firms and has passed the Series 63, Series 52TO, Series 42, Series 22TO, Series 6TO, Series 72, Series 82TO, Series 99TO, Series 62, 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
December 11, 2017 - July 19, 2024
MARCH CAPITAL CORP.
June 18, 2015 - December 11, 2017
UHLMANN PRICE SECURITIES, LLC
October 31, 2013 - June 12, 2015
ALPS DISTRIBUTORS, INC.
March 5, 2013 - June 26, 2013
MONERE INVESTMENTS, INC.
March 29, 2010 - November 29, 2011
MELVILLE ISLAND, LLC
August 29, 2008 - September 18, 2008
GH TRADERS LLC
January 7, 2006 - June 6, 2006
GOLDEN BENEFICIAL SECURITIES CORPORATION
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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