Janel T. Richards
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.
Janel Thompson Richards, who also goes by Janel T Alanis, Janel Thompson Alanis, Janel Thompson, was a registered financial professional .
Janel is a previously registered financial professional and started their career in finance in 1987. Janel had worked at 2 firms and has passed the 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
April 7, 2014 - April 9, 2015
USAA FINANCIAL ADVISORS, INC.
August 13, 2003 - April 11, 2014
USAA INVESTMENT SERVICES COMPANY
October 5, 1987 - October 30, 2002
USAA INVESTMENT SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
