Jenifer D. Hess
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.
Jenifer Dyan Hess was a registered financial professional .
Jenifer is a previously registered financial professional and started their career in finance in 1996. Jenifer had worked at 9 firms and has passed the 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
March 14, 2012 - January 2, 2013
PURSHE KAPLAN STERLING INVESTMENTS
July 20, 2004 - June 14, 2007
HILLTOP SECURITIES INC.
July 10, 2003 - September 16, 2003
LINCOLN INVESTMENT
December 8, 2000 - February 6, 2002
BANC OF AMERICA SECURITIES LLC
March 23, 1999 - September 3, 1999
JOSEPHTHAL & CO., INC.
August 14, 1998 - November 2, 1998
FIDELITY BROKERAGE SERVICES LLC
October 15, 1997 - June 22, 1998
WELLS FARGO CLEARING SERVICES, LLC
September 18, 1996 - October 2, 1997
J.P. MORGAN SECURITIES LLC
July 11, 1996 - September 11, 1996
AVANTAX INVESTMENT SERVICES, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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