Janet L. Edwards
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 Louise Sumney Edwards, who also goes by Janet Louise Edwards, Janet Louise Gillie, Janet Louise Sumney, Janet Louise Gillie Sumney, Janet Louise Sumney Edwards, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1987. Janet had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 24, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2013 - January 13, 2022
WELLS FARGO SECURITIES, LLC
August 8, 2011 - April 24, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
August 8, 2011 - May 2, 2013
LPL FINANCIAL LLC
August 3, 2011 - May 2, 2013
LPL FINANCIAL LLC
October 23, 2009 - April 15, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 15, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2009 - April 15, 2010
BOFA DISTRIBUTORS, INC.
July 29, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 11, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 20, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 20, 1987 - October 16, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 20, 1987 - October 16, 2001
OSAIC FA, 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 7TO
Date: 3/10/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/10/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 3/10/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/10/2024
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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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