Janet Y. Yearwood

NEW YORK, NY

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CRD#: 1783432

Professional summary

Janet Yvonne Yearwood was a registered financial advisor .

Janet is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Janet had worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 6, 2026 - Present

NEW YORK, NY

Past

May 13, 2015 - December 4, 2018

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

August 30, 1993 - December 23, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 1, 1990 - August 26, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/6/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/21/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/17/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/13/2015

General Securities Representative Examination

Current firm

No current employment

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.

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Janet Y. Yearwood

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/2015

SIE

Date: 10/1/2018

Series 3

Date: 7/17/2018

Series 7

Date: 5/13/2015

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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