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JM

Janet A. Mcdermott

Some features on this profile are disabled
CRD#: 2538860
JM

Professional summary

Janet A Mcdermott was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Janet is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Janet had worked at 5 firms, which includes IAA FINANCIAL LLC, FMSBONDS INC., WELLS FARGO CLEARING SERVICES LLC, CHARLES SCHWAB & CO. INC., UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Janet Ap Mcdermott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 16, 2010 - January 31, 2011

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL
Past

August 4, 2009 - April 15, 2010

FMSBONDS, INC.

BD
CRD#: 7793
BOCA RATON, FL
Past

September 27, 2006 - July 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PALM BEACH, FL
Past

September 26, 2006 - July 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PALM BEACH, FL
Past

April 16, 2002 - March 13, 2006

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
BOCA RATON, FL
Past

April 16, 2002 - March 13, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

June 4, 2001 - April 2, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/26/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/8/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

IF
IAA FINANCIAL LLC
CBG FINANCIAL GROUP, INC. | IAA FINANCIAL LLC | CHEEVERS, HAND & ANGELINE, INC.

CRD#: 6578 / SEC#: , 8-18463

BD
Terminated by SEC on 02/09/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 10/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PECUNIA MANAGEMENT LLCPARENT COMPANY
CARRENO, KEVIN ANDREWSECRETARY2047444
CUFF, SHERI MINGUSCHIEF OPERATING OFFICER, FIN-OP1477228
LOTVIN, NANCI BETHCCO/AML2320121
WEINBERGER, DAVID SPRESIDENT2676116

Disclosures

Regulatory Event1

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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Company Information

IAA FINANCIAL LLC

CRD#: 6578

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