Jacqueline S. Mijol
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.
Jacqueline Sue Mijol, who also goes by Jackie Sue Frazier, Jackie Frazier, Jacqueline S Frazier, Jacqueline Sue Frazier, Jackie Sue Mijol, Jackie Mijol, Jacqueline F Mijol, Jacqueline Frazier Mijol, Jacqueline Mijol, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1985. Jacqueline had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
November 9, 2015 - March 17, 2016
PRINCIPAL SECURITIES, INC.
November 5, 2015 - March 17, 2016
PRINCIPAL SECURITIES, INC.
October 9, 2015 - November 3, 2015
PRINCIPAL SECURITIES, INC.
September 15, 2015 - November 3, 2015
PRINCIPAL SECURITIES, INC.
January 15, 2014 - August 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2014 - August 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2013 - January 30, 2014
CITIGROUP GLOBAL MARKETS INC.
January 14, 2013 - January 30, 2014
CITIGROUP GLOBAL MARKETS INC.
November 20, 2008 - December 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2008 - December 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2008 - August 12, 2008
TD AMERITRADE, INC.
June 13, 2008 - August 12, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 22, 2008 - August 12, 2008
TD AMERITRADE, INC.
September 14, 2007 - November 6, 2007
CULLUM & BURKS SECURITIES, INC.
March 22, 2001 - May 23, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
March 11, 1994 - April 29, 1999
FIDELITY BROKERAGE SERVICES LLC
May 22, 1992 - March 15, 1994
FIDELITY DISTRIBUTORS COMPANY LLC
August 7, 1986 - May 19, 1992
FIDELITY BROKERAGE SERVICES LLC
December 9, 1985 - February 12, 1986
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 8
Date: 5/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
