Jo Rae Perkins
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.
Jo Rae Perkins, who also goes by Jo Rae Perkins, Jorae Perkins, Jorae Whittaker, was a registered financial advisor .
Jo Rae is a previously registered financial advisor and started their career in finance in 1986. Jo Rae had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2009 - October 6, 2010
NEXT FINANCIAL GROUP, INC.
October 20, 2008 - October 6, 2010
NEXT FINANCIAL GROUP, INC.
January 4, 2006 - October 17, 2008
KEY INVESTMENT SERVICES LLC
January 3, 2006 - October 17, 2008
KEY INVESTMENT SERVICES LLC
October 14, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
October 13, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
July 18, 2005 - September 28, 2005
WAMU INVESTMENTS, INC.
July 18, 2005 - September 28, 2005
WAMU INVESTMENTS, INC.
March 2, 2005 - July 1, 2005
U.S. BANCORP INVESTMENTS, INC.
December 4, 1998 - July 1, 2005
U.S. BANCORP INVESTMENTS, INC.
December 10, 1986 - December 31, 1996
PFS INVESTMENTS INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
