Jennifer B. Bender
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.
Jennifer Baiano Bender, who also goes by Jennifer Ann Baiano, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1994. Jennifer had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2014 - May 22, 2024
CHARLES SCHWAB & CO., INC.
May 29, 2012 - January 13, 2014
CURIAN CLEARING, LLC
July 8, 2004 - October 19, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 5, 2004 - April 26, 2004
A. G. EDWARDS & SONS, INC.
September 24, 2002 - August 7, 2003
BANC ONE SECURITIES CORPORATION
December 7, 2001 - September 13, 2002
MORGAN STANLEY DW INC.
July 7, 2000 - January 8, 2002
TCADVISORS NETWORK INC.
May 22, 2000 - June 19, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1997 - March 21, 2000
CITIGROUP GLOBAL MARKETS INC.
June 5, 1997 - August 15, 1997
MORGAN STANLEY DW INC.
May 19, 1995 - March 21, 1997
CITIGROUP GLOBAL MARKETS INC.
January 1, 1995 - March 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1994 - November 11, 1994
SANFORD C. BERNSTEIN & CO., 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
Current 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.
