Jeffrey A. Vann
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.
Jeffrey Alan Vann, who also goes by Jeffrey Allen Vann, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 5 firms and has passed the Series 63, Series 62, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2000 - June 21, 2001
INTERFIRST CAPITAL CORPORATION
March 1, 2000 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
January 31, 1994 - July 20, 1995
PACIFIC COAST FINANCIAL SECURITIES, INC.
October 8, 1993 - March 18, 1994
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
January 16, 1992 - June 29, 1993
PACIFIC COAST FINANCIAL SECURITIES, INC.
November 19, 1990 - November 20, 1991
AMERICAN BUSINESS SECURITIES, INC.
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 62
Date: 2/29/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
