Jeannine E. Merrill
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.
Jeannine Ellen Merrill, CFP®, who also goes by Jeannine Ellen Sanguesa, was a registered financial professional .
Jeannine is a previously registered financial professional and started their career in finance in 1995. Jeannine had worked at 8 firms and has passed the Series 66, 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
Start date: 2007
Experience
April 23, 2021 - April 11, 2024
SECURITIES AMERICA, INC.
June 1, 2009 - April 30, 2019
MORGAN STANLEY
June 1, 2009 - April 30, 2019
MORGAN STANLEY
January 2, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 19, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 7, 2005 - May 18, 2006
BOK FINANCIAL SECURITIES, INC.
February 26, 2003 - June 7, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
July 25, 2000 - April 6, 2001
NELSONREID, INC.
October 10, 1996 - November 20, 1998
CREDIT SUISSE SECURITIES (USA) LLC
March 1, 1995 - February 22, 1996
AMRESCO SECURITIES, 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
