Janice L. Grindle
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.
Janice Lee Grindle, who also goes by Janice L Grindle, Janice Lee Haslam, Janice L Smith, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1999. Janice had worked at 5 firms and has passed the Series 65, 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
June 24, 2010 - January 27, 2023
ALTERITY FINANCIAL GROUP, LLC
June 16, 2010 - September 19, 2011
PURSHE KAPLAN STERLING INVESTMENTS
October 5, 2007 - April 16, 2010
UBS FINANCIAL SERVICES INC.
October 5, 2007 - April 16, 2010
UBS FINANCIAL SERVICES INC.
February 18, 2005 - October 18, 2007
RBC CAPITAL MARKETS, LLC
June 13, 2002 - October 18, 2007
RBC CAPITAL MARKETS, LLC
August 13, 1999 - May 3, 2002
DIRIGO INVESTMENTS, 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
ALTERITY FINANCIAL GROUP, LLC
CRD#: 153534 / SEC#: 801-79430
Contact information
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 120,873,719 |
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.
