Rick L. Janke
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.
Rick Lee Janke was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1986. Rick had worked at 6 firms and has passed the Series 63, Series 7 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
May 9, 2003 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 25, 2003 - May 13, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 1991 - March 6, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 17, 1989 - September 12, 1991
GENEVA SECURITIES,INC.
October 28, 1988 - October 19, 1989
CADARET, GRANT & CO., INC.
December 3, 1987 - November 17, 1988
FOCUS SECURITIES, INC.
December 22, 1986 - December 22, 1987
WOODBURY FINANCIAL SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
