Janice L. Flaherty
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.
Janice Lee Flaherty, who also goes by Janice L Flaherty, Janice Lee Groppo Miss, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1992. Janice had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, 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 2, 2014 - December 11, 2015
QUESTAR ASSET MANAGEMENT, INC.
April 15, 2014 - December 11, 2015
QUESTAR CAPITAL CORPORATION
October 26, 2011 - April 14, 2014
LPL FINANCIAL LLC
May 31, 2011 - April 14, 2014
LPL FINANCIAL LLC
August 31, 2007 - December 11, 2009
CONNECTICUT INVESTMENT MANAGEMENT
August 31, 2007 - June 1, 2011
NEWALLIANCE INVESTMENTS, INC.
October 20, 2004 - August 28, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - August 28, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 4, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
January 2, 1997 - September 25, 2000
FIS SECURITIES, INC.
March 28, 1994 - December 31, 1996
CONSECO SECURITIES, INC.
December 21, 1992 - March 28, 1994
SHAWMUT BROKERAGE, 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
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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