Janis D. Crist
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 Deanne Crist was a registered financial professional .
Janis is a previously registered financial professional and started their career in finance in 1992. Janis had worked at 12 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2012 - September 27, 2013
BIC DISTRIBUTORS, LLC
October 14, 2010 - September 13, 2012
VALIC FINANCIAL ADVISORS, INC.
September 15, 2010 - September 13, 2012
VALIC FINANCIAL ADVISORS, INC.
April 30, 2008 - February 18, 2009
NEWPORT COAST SECURITIES, INC.
April 22, 2008 - February 18, 2009
NEWPORT COAST SECURITIES, INC.
March 15, 2006 - August 29, 2006
GUGGENHEIM INVESTMENTS
March 15, 2006 - August 29, 2006
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 25, 2005 - March 21, 2006
A. G. EDWARDS & SONS, INC.
July 8, 2005 - March 21, 2006
A. G. EDWARDS & SONS, INC.
February 20, 2003 - August 4, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 18, 2002 - February 7, 2003
TRANSAMERICA CAPITAL, LLC
August 21, 2000 - December 19, 2000
FOUR POINTS CAPITAL PARTNERS LLC
January 14, 1999 - December 31, 1999
MOMENTUM INDEPENDENT NETWORK INC.
April 22, 1993 - February 24, 1997
UBS FINANCIAL SERVICES INC.
June 11, 1992 - March 12, 1993
CIBC WORLD MARKETS CORP.
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
BIC DISTRIBUTORS, LLC
CRD#: 152860 / SEC#: , 8-68484
Contact information
Documents
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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