Janene S. Tompkins
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.
Janene Swift Tompkins, CFP®, who also goes by Anna Janene Swift, Janene S Tompkins, was a registered financial professional .
Janene is a previously registered financial professional and started their career in finance in 1991. Janene had worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 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
Start date: 2010
Experience
September 5, 2019 - March 1, 2021
CHARLES SCHWAB & CO., INC.
September 5, 2019 - March 1, 2021
CHARLES SCHWAB & CO., INC.
June 5, 2019 - August 12, 2019
FIRST HORIZON ADVISORS, INC.
June 4, 2019 - August 12, 2019
FIRST HORIZON ADVISORS, INC.
July 13, 2017 - August 30, 2018
ARMOR INVESTMENT ADVISORS, LLC
September 13, 2016 - July 10, 2017
TRUIST ADVISORY SERVICES, INC.
January 21, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 21, 2014 - July 10, 2017
TRUIST INVESTMENT SERVICES, INC.
September 14, 2012 - November 15, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 14, 2012 - November 15, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 7, 2011 - July 31, 2012
CUSO FINANCIAL SERVICES, L.P.
December 7, 2011 - July 31, 2012
CUSO FINANCIAL SERVICES, L.P.
January 27, 2006 - December 7, 2011
CUNA BROKERAGE SERVICES, INC.
August 18, 2005 - December 7, 2011
CUNA BROKERAGE SERVICES, INC.
May 4, 2005 - August 10, 2005
PACKERLAND BROKERAGE SERVICES, INC.
October 23, 2002 - May 6, 2005
QUEST CAPITAL STRATEGIES, INC.
March 23, 2001 - May 3, 2002
KESTRA INVESTMENT SERVICES, LLC
February 16, 1998 - December 20, 2000
LONDON PACIFIC SECURITIES, INC.
December 13, 1995 - September 24, 1997
BB&T INVESTMENT SERVICES, INC.
May 5, 1995 - January 11, 1996
INVEST FINANCIAL CORPORATION
July 21, 1993 - May 5, 1995
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 6, 1991 - June 8, 1992
METROPOLITAN LIFE INSURANCE COMPANY
August 6, 1991 - June 8, 1992
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 7TO
Date: 12/16/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/16/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
