Janis C. Brennan
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.
Janis Clare Brennan, who also goes by Janis Brennan, was a registered financial professional .
Janis is a previously registered financial professional and started their career in finance in 1986. Janis had worked at 2 firms and has passed the Series 7 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
May 11, 1990 - June 10, 2014
BMO CAPITAL MARKETS GKST INC.
October 24, 1986 - June 28, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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: 7/21/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BMO CAPITAL MARKETS GKST INC.
CRD#: 8352 / SEC#: , 8-25091
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
