Janet Ballantyne
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.
Janet Ballantyne, who also goes by Janet Ballantyne, Janet Fogarty, Janet Mary Mcdonough, Janet Mcdonough, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1987. Janet had worked at 18 firms and has passed the Series 63, SIE, Series 7 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
July 12, 2022 - December 12, 2025
FIDELITY BROKERAGE SERVICES LLC
August 16, 2017 - November 2, 2017
GIRARD SECURITIES, INC.
August 16, 2017 - July 24, 2018
SUMMIT BROKERAGE SERVICES, INC.
August 16, 2017 - July 24, 2018
FIRST ALLIED SECURITIES, INC.
August 16, 2017 - July 24, 2018
CETERA INVESTMENT SERVICES LLC
August 16, 2017 - July 24, 2018
CETERA FINANCIAL SPECIALISTS LLC
August 16, 2017 - July 24, 2018
CETERA ADVISORS LLC
August 16, 2017 - June 9, 2022
CETERA WEALTH SERVICES, LLC
December 21, 2007 - March 2, 2017
CETERA WEALTH SERVICES, LLC
October 29, 2004 - December 21, 2007
CETERA INVESTMENT SERVICES LLC
October 29, 2004 - December 21, 2007
CETERA ADVISORS LLC
October 29, 2004 - December 21, 2007
VOYA FINANCIAL ADVISORS, INC.
December 11, 2001 - December 21, 2007
CETERA WEALTH SERVICES, LLC
December 21, 2000 - September 20, 2001
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 6, 1998 - November 10, 2000
EQUITABLE DISTRIBUTORS, LLC
July 14, 1997 - January 16, 1998
WAMU INVESTMENTS, INC.
March 22, 1995 - July 14, 1997
ASB FINANCIAL SERVICES
August 29, 1991 - December 9, 1991
KC MAY SECURITIES CORP.
August 31, 1990 - October 17, 1990
F.L. BRYANT & CO., INC.
April 25, 1990 - June 14, 1990
MSI FINANCIAL SERVICES, INC.
August 26, 1988 - April 25, 1990
UR FINANCIAL, INC.
June 11, 1987 - August 20, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER 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
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
