Jennifer L. Statler
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.
Jennifer Lynn Statler, who also goes by Jennifer Lynn Flickinger, Jennifer Statler, Jennifer Lynn Tomlinson, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1998. Jennifer had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 52, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2016 - June 13, 2022
CHARLES SCHWAB & CO., INC.
April 8, 2016 - June 13, 2022
CHARLES SCHWAB & CO., INC.
June 21, 2013 - October 18, 2013
J.P. MORGAN SECURITIES LLC
June 21, 2013 - October 18, 2013
J.P. MORGAN SECURITIES LLC
October 23, 2009 - April 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2006 - October 23, 2008
LASALLE FINANCIAL SERVICES, INC.
November 2, 2005 - October 23, 2008
LASALLE FINANCIAL SERVICES, INC.
May 30, 2003 - November 2, 2005
FIRST HORIZON ADVISORS, INC.
July 25, 2001 - October 8, 2001
NBC SECURITIES, INC.
February 23, 1998 - July 17, 2001
FIRST HORIZON ADVISORS, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
