Janie S. Kass
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.
Janie Sharon Kass was a registered financial professional .
Janie is a previously registered financial professional and started their career in finance in 1985. Janie had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2014 - October 20, 2016
LYNX CAPITAL, LLC
September 27, 2005 - December 31, 2007
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
May 30, 2003 - December 31, 2007
RCM DISTRIBUTORS LLC
June 24, 1986 - April 7, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
September 24, 1985 - April 19, 1986
SALOMON BROTHERS INC.
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 2
Date: 12/21/1994
Non-Member General Securities ExaminationCurrent Firm
LYNX CAPITAL, LLC
CRD#: 137178 / SEC#: , 8-67068
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTZ, THEODORE JOHN | PRESIDENT/CCO | 2333618 |
| MORGAN, WILLIAM ARTHUR | FINOP |
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.
