Jane L. Easter
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.
Jane Lee Easter, who also goes by Janie Burfield, Janie Easter, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1986. Jane had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2003 - May 6, 2013
KMS FINANCIAL SERVICES, INC.
December 17, 2003 - May 6, 2013
KMS FINANCIAL SERVICES, INC.
December 21, 2000 - December 17, 2003
METROPOLITAN FINANCIAL SERVICES, INC.
June 30, 2000 - December 17, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
June 13, 2000 - June 29, 2000
PACIFIC WEST SECURITIES, INC.
January 3, 1994 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
March 6, 1987 - December 31, 1993
TRANSAMERICA SECURITIES SALES CORPORATION
May 2, 1986 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
