Jeffery S. Ignozzi
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.
Jeffery Scott Ignozzi, who also goes by Jeffrey Scott Ignozzi, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1992. Jeffery had worked at 6 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2002 - March 6, 2002
CONTINENTAL BROKER-DEALER CORP.
May 22, 1996 - February 6, 2002
HEFREN-TILLOTSON, INC.
September 13, 1995 - May 22, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 7, 1995 - May 22, 1996
ROBERT W. BAIRD & CO. INCORPORATED
April 12, 1994 - July 25, 1995
A. G. EDWARDS & SONS, INC.
August 6, 1992 - December 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 8/16/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
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.
