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SN

Sen Ning

FIRST HEARTLAND CAPITAL
Edison, NJ 08817
Some features on this profile are disabled
CRD#: 2895522
SN

Professional summary

Sen Ning, who also goes by Jason Sen Ning, Jason Ning, Sen Jansen Ning, Sen Jason Ning, is a registered financial professional currently at FIRST HEARTLAND CAPITAL, INC. located in Edison, New Jersey.

Sen is registered as a RR (Registered Representative) and started their career in finance in 1997. Sen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason Sen Ning | Jason Ning | Sen Jansen Ning | Sen Jason Ning

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sen Ning's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 4, 2017 - Present

FIRST HEARTLAND CAPITAL, INC.

Office #1: 2035 Lincoln Highway Suite 2250, Edison, NJ 08817
BD
CRD#: 32460
Edison, NJ
Past

August 29, 2016 - December 31, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
ENGLEWOOD CLIFFS, NJ
Past

July 2, 1997 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
FLUSHING, NY
Past

July 2, 1997 - August 25, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/20/2024)
RR
New Jersey
(1/4/2017)
RR
New York
(1/4/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/1/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/26/2001
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FH
FIRST HEARTLAND CAPITAL, INC.
FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460 / SEC#: , 8-46008

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4101 Lake St. Louis Blvd., Lake St. Louis, MO 63367
Mailing Address
4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367
Phone number
(636) 625-0900
Established
Missouri since 10/01/2005
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOFF, DAVID MICHAELPRESIDENT1058737
CHRISTY, ZEONIA MCHIEF COMPLIANCE OFFICER4067924
HALL, BRANDON WAYNECHIEF INFORMATION OFFICER5113480
HOFF, SCOTT MCHIEF OPERATIONS OFFICER5008279
JEHLE, JEANNE ANNFINOP4885198

Disclosures

Regulatory Event3

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.

Company Information

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460Edison, NJ 08817

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