JG
Janet R. Grimm
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CRD#: 1697299
JG
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 Regentin Grimm, who also goes by Janet Regentin Ledwon, J R Regentin, Janet L Regentin, Janet Lynn Regentin, Janet Lynn Regentinledwon, Janet Regentinledwon, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1987. Janet had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Janet Regentin Ledwon | J R Regentin | Janet L Regentin | Janet Lynn Regentin | Janet Lynn Regentinledwon | Janet Regentinledwon
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 9, 2013 - November 14, 2014
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
GRAND RAPIDS, MI
Past
March 5, 2013 - November 14, 2014
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
GRAND RAPIDS, MI
Past
March 13, 2003 - January 21, 2005
MACATAWA INVESTMENT SERVICES, INC.
BD
CRD#: 118715
HOLLAND, MI
Past
April 12, 2000 - December 31, 2001
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
September 29, 1998 - April 7, 2000
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
November 10, 1993 - September 25, 1996
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
March 30, 1993 - November 8, 1993
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
June 16, 1992 - February 22, 1993
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
December 21, 1987 - October 2, 1990
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
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CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
