Jane J. Vanderwerf
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.
Jane Johnson Vanderwerf, who also goes by Jane Baily Johnson, Jane Baily Vanderwerf, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1989. Jane had worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - June 12, 2024
EMPOWER FINANCIAL SERVICES, INC.
June 2, 2006 - August 4, 2008
TRANSAMERICA INVESTORS SECURITIES, LLC
July 26, 2004 - March 31, 2006
THE STRATEGIC FINANCIAL ALLIANCE, INC.
July 26, 2004 - March 31, 2006
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 17, 2003 - June 24, 2004
WS GRIFFITH SECURITIES, INC.
June 20, 2002 - June 24, 2004
WS GRIFFITH SECURITIES, INC.
March 27, 2001 - February 4, 2002
PORTSMOUTH FINANCIAL SERVICES
March 29, 1999 - March 27, 2001
MORGAN STANLEY DW INC.
October 5, 1998 - March 25, 1999
WS GRIFFITH SECURITIES, INC.
September 9, 1993 - October 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
December 13, 1991 - May 29, 1998
CITICORP INVESTMENT SERVICES
June 5, 1990 - December 9, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 21, 1989 - June 20, 1990
IDS LIFE INSURANCE COMPANY
November 21, 1989 - June 20, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
