Jane L. Legette
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.
Jane Lee Legette, who also goes by Jane Kinney, was a registered financial advisor .
Jane is a previously registered financial advisor and started their career in finance in 1997. Jane had worked at 9 firms and has passed the Series 63, Series 65, SIE 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
February 4, 2014 - February 10, 2020
FIDELITY BROKERAGE SERVICES LLC
February 6, 2012 - January 24, 2014
TCADVISORS NETWORK INC.
October 17, 2006 - June 27, 2011
CHOREO, LLC
October 9, 2006 - June 27, 2011
BIRCHTREE FINANCIAL SERVICES LLC
July 25, 2005 - September 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 19, 2005 - September 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 17, 2004 - July 12, 2005
NYLIFE SECURITIES LLC
July 26, 2002 - December 5, 2002
GIULIANI CAPITAL ADVISORS LLC
June 27, 2002 - February 10, 2004
ERNST & YOUNG INVESTMENT ADVISERS LLP
March 21, 1998 - July 11, 2000
TRUIST INVESTMENT SERVICES, INC.
February 11, 1997 - November 26, 1997
FIDELITY BROKERAGE SERVICES LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
