Janice G. Farr
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 Gayle Farr, who also goes by Jan G Farr, Jan Gayle Farr, Janice Farr, Janice G Farr, Jan Gayle Todd, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 2006. Janice had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2021 - June 4, 2026
ALLY INVEST ADVISORS
September 24, 2021 - June 4, 2026
ALLY INVEST SECURITIES LLC
May 15, 2020 - August 20, 2021
MORGAN STANLEY
March 6, 2020 - August 20, 2021
MORGAN STANLEY
July 19, 2006 - March 11, 2016
SCOTTRADE, INC.
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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: 1/31/2022
General Securities Representative ExaminationCurrent Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 79,536 |
| AUM (Assets Under Management) | $ 1,726,325,664 |
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.
