Jessica W. Jennings

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CRD#: 2674650

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.

Jessica W. Jennings, who also goes by Jessica Joan Jennings, Jessica Wait Jennings, Jessica W Jennings, Jessica Joan Wait, Jessica Wait, Jessica J Wait, was a registered financial professional .

Jessica is a previously registered financial professional and started their career in finance in 1996. Jessica had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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

September 13, 2018 - December 31, 2019

FITHIAN LLC

RIA

CRD#: 287509

NEW YORK, NY

Past

May 19, 2008 - September 1, 2016

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

NEW YORK, NY

Past

November 17, 2006 - April 16, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

WHITE PLAINS, NY

Past

July 10, 2006 - April 16, 2008

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

Past

February 13, 2006 - September 25, 2006

GOODBODY SECURITIES INC

CRD#: 135790

NEW YORK, NY

Past

April 15, 2004 - July 5, 2006

PRESCIENT INVESTMENT MANAGERS (IRELAND) LTD

RIA

CRD#: 107328

NEW YORK, NY

Past

May 1, 2003 - May 11, 2004

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

July 11, 2000 - March 11, 2004

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

RIA

CRD#: 106909

BALTIMORE, MD

Past

June 5, 2000 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

Past

April 9, 1996 - July 13, 1999

CBIS FINANCIAL SERVICES, INC.

CRD#: 20872

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FITHIAN LLC

CRD#: 287509 / SEC#: 801-111059

RIA

Registered Investment Advisory firm - (8/28/2017 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/20/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/17/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2005

General Securities Principal Examination

Current Firm

FITHIAN LLC

CRD#: 287509 / SEC#: 801-111059

RIA

Registered Investment Advisory firm - (8/28/2017 Approved)

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Contact information

Main Address

654 Madison Avenue Suite 1603, New York, NY 10065

Mailing Address

Phone number

(212) 593-2828

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FITHIAN 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 149,094,325

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.

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Advisor Monitoring

Firm Stability Insights

Jessica W. Jennings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAVIS DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

SECURITY DISTRIBUTORS

GOODBODY SECURITIES INC

PRESCIENT INVESTMENT MANAGERS (IRELAND) LTD

M&T SECURITIES, INC.

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

ALLFIRST BROKERAGE CORPORATION

CBIS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FITHIAN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/2008

Series 65

Date: 12/17/1996

SIE

Date: 9/1/2016

Series 7

Date: 4/4/1996

Series 24

Date: 10/11/2005

Current Firm

FITHIAN LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FITHIAN LLC

TRUST BUT VERIFY

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