Jane Lafata
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.
Jane Lafata, who also goes by Jane Masiello, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1987. Jane had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2014 - July 2, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2014 - July 2, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2012 - December 1, 2014
TD AMERITRADE, INC.
December 5, 2012 - December 1, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 5, 2012 - December 1, 2014
TD AMERITRADE, INC.
May 2, 2012 - November 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2012 - November 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2011 - November 30, 2011
R. SEELAUS & CO., LLC
August 29, 2011 - November 30, 2011
R. SEELAUS & CO., LLC
February 18, 2009 - August 31, 2011
HSBC SECURITIES (USA) INC.
February 18, 2009 - August 31, 2011
HSBC SECURITIES (USA) INC.
February 14, 2006 - August 25, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 14, 2006 - August 25, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 19, 2006 - January 20, 2006
EQUITABLE ADVISORS, LLC
August 5, 2005 - January 20, 2006
EQUITABLE ADVISORS, LLC
June 29, 2004 - February 28, 2005
BANC OF AMERICA SECURITIES LLC
March 1, 2002 - June 29, 2004
APEX CLEARING CORPORATION
May 31, 2001 - October 12, 2001
APEX CLEARING CORPORATION
April 25, 2001 - June 18, 2001
QUICK & REILLY, INC.
August 25, 2000 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
July 8, 1997 - September 4, 1998
FISERV INVESTOR SERVICES, INC.
May 1, 1996 - June 27, 1996
SUMMIT FINANCIAL SERVICES GROUP, INC.
February 27, 1995 - May 1, 1996
UJB DISCOUNT BROKERAGE CO.
August 20, 1991 - March 18, 1993
UJB DISCOUNT BROKERAGE CO.
October 20, 1987 - August 21, 1989
UJB DISCOUNT BROKERAGE CO.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
