Jennifer A. Uematsu
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 Alane Uematsu, who also goes by Jennifer Alane Uematsu-yu, Jennifer Alane Yu, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1995. Jennifer had worked at 6 firms and has passed the Series 65, Series 63 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
April 23, 2013 - May 22, 2014
FIRST BROKERAGE AMERICA, L.L.C.
April 19, 2013 - May 22, 2014
FIRST BROKERAGE AMERICA, L.L.C.
August 26, 2002 - July 7, 2011
RBC CAPITAL MARKETS, LLC
May 28, 2002 - July 7, 2011
RBC CAPITAL MARKETS, LLC
June 22, 2000 - January 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2000 - June 19, 2000
CITIGROUP GLOBAL MARKETS INC.
June 9, 1998 - May 27, 2000
SCHRODER & CO. INC.
September 20, 1995 - August 29, 1996
PERSHING LLC
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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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