Juanita A. Mccormick
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.
Juanita Alexandra Mccormick, who also goes by Juanita A Garcia, Juanita Alexandra Garcia, Juanita Garcia, Juanita A Mccormick, Juanita Mccormick, was a registered financial professional .
Juanita is a previously registered financial professional and started their career in finance in 1999. Juanita had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 23, 2024 - February 13, 2026
COPPER FINANCIAL
January 19, 2024 - February 13, 2026
COPPER FINANCIAL
November 29, 2022 - January 19, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 28, 2022 - January 19, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2022 - December 22, 2022
LPL FINANCIAL LLC
May 18, 2022 - December 22, 2022
LPL FINANCIAL LLC
December 11, 2009 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
December 8, 2009 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
July 12, 2000 - December 3, 2009
EQUITABLE ADVISORS, LLC
June 8, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 8, 1999 - December 3, 2009
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
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
COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
Contact information
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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