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Janis Deanne Crist

CRD# 1687774·Registered 1992 - 2013
Previously Registered: Being a previously registered professional could mean that Janis 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.

Professional Summary

Janis Deanne Crist was a registered financial advisor. Janis was a previously registered financial professional and started their career in finance 1992 - 2013. Janis had worked at 12 firms and has passed the Series 66, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

BIC DISTRIBUTORS, LLC·CRD# 152860
BD
Phoenix, AZ
September 12, 2012 - September 27, 2013
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
RIA
Houston, TX
October 14, 2010 - September 13, 2012
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
BD
Houston, TX
September 15, 2010 - September 13, 2012
NEWPORT COAST SECURITIES, INC.·CRD# 16944
BD
New York, NY
April 30, 2008 - February 18, 2009
NEWPORT COAST SECURITIES, INC.·CRD# 16944
RIA
Houston, TX
April 22, 2008 - February 18, 2009
GUGGENHEIM INVESTMENTS·CRD# 129288
RIA
Lisle, IL
March 15, 2006 - August 29, 2006
GUGGENHEIM FUNDS DISTRIBUTORS, LLC·CRD# 39805
BD
Chicago, IL
March 15, 2006 - August 29, 2006
A. G. EDWARDS & SONS, INC.·CRD# 4
RIA
Sugar Land, TX
July 25, 2005 - March 21, 2006
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
St. Louis, MO
July 8, 2005 - March 21, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC·CRD# 612
BD
Minneapolis, MN
February 20, 2003 - August 4, 2003
TRANSAMERICA CAPITAL, LLC·CRD# 8217
BD
Denver, CO
February 18, 2002 - February 7, 2003
FOUR POINTS CAPITAL PARTNERS LLC·CRD# 43149
BD
Ridgewood, NJ
August 21, 2000 - December 19, 2000
MOMENTUM INDEPENDENT NETWORK INC.·CRD# 17587
BD
Dallas, TX
January 14, 1999 - December 31, 1999
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
April 22, 1993 - February 24, 1997
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
June 11, 1992 - March 12, 1993

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Current Firm

BD
BIC DISTRIBUTORS, LLC

BIC DISTRIBUTORS, LLC

CRD#: 152860 / SEC#: 8-68484
BD
Terminated by SEC on 08/28/2017

Contact Information

Established

Arizona since 10/26/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BIC GROUP, LLCSOLE MEMBER—
KOWALSKI, DEIRDRE PATTENCFO/FINOP/CCO1357509
KRIES, JAMES ANTHONYMANAGER1970551

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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