Jessie Ellen Waller
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.
Jessie Ellen Waller, who also goes by Jessie Simone, Jessie Ellen Waller, was a registered financial professional .
Jessie Ellen is a previously registered financial professional and started their career in finance in 1990. Jessie Ellen had worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
February 14, 1990 - December 21, 2018
AMERITAS INVESTMENT COMPANY, 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
Current Firm
THE ADVISORS GROUP, INC.
CRD#: 14035 / SEC#: , 8-28461
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMAL CORPORATION | 100% OWNER OF THE ADVISORS GROUP, INC. | |
| ARITURK, HALUK | DIRECTOR | 1149006 |
| BARRY, MICHELLE ANNE | VICE PRESIDENT, ADVISORY SERVICES | 2744539 |
| GLAZER, DAVID ANDREW | REGIONAL VICE PRESIDENT | 1149058 |
| HARVEY, JAMES EDWARD | HONORARY DIRECTOR | 4424791 |
| HEILMAN, CHERYL LYNN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2114445 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER | 2590328 |
| NASON, CHARLES TUCKEY | CHAIRMAN OF BOARD OF DIRECTORS | 345075 |
| OSS, STEVEN MICHAEL | FINOP | 4696804 |
| OWENS, BRIAN JOHN | HONORARY DIRECTOR | 354641 |
| SANDS, ROBERT JOHN HAMILTON | DIRECTOR | 1107457 |
| SNYDER, REX BALES | VICE PRESIDENT, CHIEF SUPERVISORY OFFICER | 1061633 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
