Janice R. Gawales
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.
Janice Ruth Gawales was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1985. Janice had worked at 5 firms and has passed the Series 63, Series 52 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
September 5, 1991 - January 15, 1992
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 19, 1989 - October 12, 1990
OSAIC WEALTH, INC.
May 11, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 16, 1986 - April 17, 1989
FIRST MONTAUK SECURITIES CORP.
June 18, 1985 - October 7, 1986
HOMESTEAD SECURITIES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
