Janice P. Ashby
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 Pauline Ashby, who also goes by Janice Pauline Adair, Janice P Ashby, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1997. Janice had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2014 - December 31, 2014
THE LEADERS GROUP, INC.
January 3, 2011 - April 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 10, 2007 - March 27, 2008
JOHN HANCOCK DISTRIBUTORS LLC
March 12, 2002 - March 9, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
January 24, 2001 - March 13, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 24, 2001 - March 13, 2002
OSAIC FA, INC.
December 13, 2000 - January 5, 2001
WELLS FARGO INVESTMENTS, LLC
June 19, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 8, 1997 - August 13, 1997
ASSOCIATED SECURITIES CORP.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
