Jan D. Wald
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.
Jan David Wald, who also goes by Jan Wald, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1998. Jan had worked at 9 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 86, Series 87 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 2, 2023 - December 31, 2025
ALIRA HEALTH TRANSACTION SERVICES, LLC
November 9, 2018 - May 17, 2023
SILVERWOOD PARTNERS
July 9, 2013 - January 24, 2017
THE BENCHMARK COMPANY, LLC
March 8, 2011 - April 13, 2012
MORGAN KEEGAN & COMPANY, LLC
April 15, 2009 - March 28, 2011
NOBLE CAPITAL MARKETS, INC.
July 25, 2007 - March 23, 2009
STANFORD GROUP COMPANY
January 18, 2001 - March 30, 2007
A. G. EDWARDS & SONS, INC.
August 2, 1999 - October 17, 2000
GEORGE K. BAUM & COMPANY
June 12, 1998 - July 30, 1999
MILLER JOHNSON STEICHEN KINNARD, 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
Series 79TO
Date: 12/11/2018
Investment Banking Registered Representative ExaminationCurrent Firm
ALIRA HEALTH TRANSACTION SERVICES, LLC
CRD#: 140203 / SEC#: , 8-67294
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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