Jeanne M. Fisher
Professional summary
Jeanne Michelle Fisher was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeanne Michelle Fisher was a registered financial advisor .
Jeanne is a previously registered financial advisor and started their career in finance in 1998. Jeanne had worked at 6 firms and has passed the Series 63, 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 13, 2014 - December 31, 2014
SUMMIT BROKERAGE SERVICES, INC.
March 13, 2007 - December 20, 2013
CANTELLA & CO., INC.
January 25, 2006 - March 7, 2007
GENEOS WEALTH MANAGEMENT, INC.
January 25, 2006 - March 7, 2007
GENEOS WEALTH MANAGEMENT, INC.
November 8, 2002 - February 6, 2006
UBS FINANCIAL SERVICES INC.
November 8, 2002 - February 6, 2006
UBS FINANCIAL SERVICES INC.
August 13, 1998 - November 15, 2002
A. G. EDWARDS & SONS, INC.
July 28, 1998 - April 28, 1999
MORGAN STANLEY DW 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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
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