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Janine Susan Cavasar

CRD# 1821261·Registered 1988 - 2012
Previously Registered: Being a previously registered professional could mean that Janine 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.

Professional Summary

Janine Susan Cavasar, who also goes by Janine Susan Moore, was a registered financial advisor. Janine was a previously registered financial professional and started their career in finance 1988 - 2012. Janine had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Janine Susan Moore

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

FIRST COMMAND BROKERAGE SERVICES, INC.·CRD# 3641
RIA
Ft Worth, TX
September 2, 2005 - October 4, 2012
FIRST COMMAND BANK·CRD# 128851
RIA
Fort Worth, TX
April 12, 2004 - September 2, 2005
FIRST COMMAND BROKERAGE SERVICES, INC.·CRD# 3641
RIA
Ft Worth, TX
April 10, 2003 - April 12, 2004
FIRST COMMAND BROKERAGE SERVICES, INC.·CRD# 3641
BD
Fort Worth, TX
November 30, 1989 - October 4, 2012
WADDELL & REED·CRD# 866
BD
Overland Park, KS
May 9, 1988 - October 25, 1989

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Current Firm

FC
FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND ADVISORY SERVICES | UNITED SERVICES PLANNING ASSOCIATION, INC. | FIRST COMMAND INSURANCE SERVICES INC. | FIRST COMMAND FINANCIAL SERVICES, INC. | FIRST COMMAND FINANCIAL PLANNING, INC. | FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641 / SEC#: 8-7072
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

P.o. Box 2387, Fort Worth, TX 76113

Phone Number

(817) 731-8621

Established

Texas since 11/24/1958

Firm Type

Corporation

Fiscal Year End

September

Firm Size

Large

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIRST COMMAND FINANCIAL SERVICES, INC.STOCKHOLDER/OWNER—
CADDELL, TINA KATHERINEVICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER3041675
CERBONE, HEIDI ELIZABETHVICE PRESIDENT AND TREASURER5734664
CHARTAN, ERICSENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER4809520
GRIFFIN, CASEY JAMESSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER3124214
HUBKA, MEEGHAN LYNNEVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP)5859322
RICHTER, KELLEEN MARIEEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER2098017
SMITH, FRANK DEANSENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER6005160
STEFFE, MARK DUANEPRESIDENT/CEO2204689

Disclosures

Regulatory Event

5

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1988About the Series 6 exam

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CRS (Client Relationship Summary)

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

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