Jack L. Streich
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.
Jack Leonard Streich, who also goes by Jack L. Streich, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1987. Jack had worked at 9 firms and has passed the Series 63, Series 66, 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
January 11, 2017 - December 11, 2018
FIS BROKERAGE & SECURITIES SERVICES LLC
May 12, 2010 - February 10, 2014
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
November 10, 2009 - February 10, 2014
FEDERATED SECURITIES CORP.
April 12, 2007 - February 10, 2014
FEDERATED INVESTMENT COUNSELING
March 14, 2007 - February 10, 2014
FEDERATED SECURITIES CORP.
January 17, 1997 - December 2, 2004
BLACKROCK INVESTMENTS, LLC
January 14, 1994 - January 13, 1997
PROVIDENT DISTRIBUTORS, INC.
January 12, 1994 - January 28, 1994
INVESTEC INC.
January 23, 1989 - September 11, 1991
BANC ONE CAPITAL MARKETS, INC.
November 25, 1987 - October 28, 1988
WINGSPAN INVESTMENT SERVICES
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
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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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