Janice W. Fulks
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.
Janice Wallis Fulks, who also goes by Janice Lynne Wallis Fulks, Janice W Fulks, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1987. Janice had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 9, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2014 - October 19, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 13, 2013 - July 29, 2013
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
August 20, 1987 - April 18, 2007
AMSOUTH INVESTMENT SERVICES, INC.
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
Series 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
