Janet L. Macy

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CRD#: 1919861

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.

Janet Lee Macy, who also goes by Janet Beatty, Janet Beatty Daniels, Janet Lee Daniels, was a registered financial advisor .

Janet is a previously registered financial advisor and started their career in finance in 1990. Janet had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Janet Beatty | Janet Beatty Daniels | Janet Lee Daniels

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

Past

February 19, 2003 - December 31, 2003

G.W. SHERWOLD ASSOCIATES, INC

RIA

CRD#: 42186

LAKE FOREST, CA

Past

April 29, 1999 - February 28, 2001

TRADEPORTAL SECURITIES, INC.

CRD#: 25001

ALISO VIEJO, CA

Past

January 4, 1999 - April 16, 1999

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

Past

July 27, 1998 - October 7, 1998

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

January 14, 1997 - March 20, 1997

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

July 30, 1996 - January 13, 1997

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

May 10, 1996 - August 6, 1996

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 18, 1995 - April 15, 1996

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

July 31, 1990 - May 15, 1995

CORPORATE BENEFIT SECURITIES, INC.

CRD#: 13975

MISSION VIEJO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

G.W. SHERWOLD ASSOCIATES, INC

G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.

CRD#: 42186 / SEC#: 801-118949, 8-49740

RIA

Registered Investment Advisory firm - SEC (6/19/2020 Approved)

California

Registered Investment Advisory firm - SEC (7/19/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/19/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/12/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/1998

General Securities Principal Examination

Current Firm

G.W. SHERWOLD ASSOCIATES, INC

G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.

CRD#: 42186 / SEC#: 801-118949, 8-49740

RIA

Registered Investment Advisory firm - SEC (6/19/2020 Approved)

California

Registered Investment Advisory firm - SEC (7/19/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/19/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

22994 El Toro Road, Lake Forest, CA 92630

Mailing Address

22994 El Toro Road, Lake Forest, CA 92630

Phone number

(949) 470-0700

Established

California since 04/14/1994

Firm type

Corporation

Fiscal year end

January

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

G.W. SHERWOLD ASSOCIATES, INC. PART 2 A & B (4/29/2025)

Direct owners and executive officers

Name	Position	CRD#
SHERWOLD, GARY WILLIAM	PRESIDENT & CHIEF COMPLIANCE OFFICER	1353782

Regulatory assets under management

Total Number of Accounts	689
AUM (Assets Under Management)	$ 455,358,654

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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Firm Stability Insights

Janet L. Macy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRADEPORTAL SECURITIES, INC.

LIGHTSPEED PROFESSIONAL TRADING LLC

PROTRADER SECURITIES L.P.

E*OFFERING

DONALD & CO. SECURITIES INC.

TITAN/VALUE EQUITIES GROUP, INC.

FIMCO SECURITIES GROUP, INC.

CORPORATE BENEFIT SECURITIES, INC.

Primary Firm SEC Registration

G.W. SHERWOLD ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1990

Series 55

Date: 4/24/2000

Series 7

Date: 7/20/1990

Series 24

Date: 7/13/1998

Current Firm

G.W. SHERWOLD ASSOCIATES, INC

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

G.W. SHERWOLD ASSOCIATES, INC

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