Jodi L. Anaya
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.
Jodi Lorraine Anaya, who also goes by Jodi Lorraine Palmtag, was a registered financial professional .
Jodi is a previously registered financial professional and started their career in finance in 1999. Jodi had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - December 4, 2017
AW SECURITIES
April 8, 1999 - December 31, 2007
SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
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